U.S. Bank · 1 day ago
CQA Analyst - Regulatory Compliance Testing
Charlotte, NC
Full-time
Hybrid
Mid, Senior Level
$105K/yr - $124K/yr
6+ years expU.S. Bank is on a journey to enhance the financial decisions of its customers and support community growth. The CQA Analyst will conduct regulatory compliance reviews, develop testing materials, and assess compliance with internal policies and regulations, while recommending corrective actions as necessary.
BankingFinancial ServicesInsuranceMortgageWealth Management
Responsibilities
Conduct compliance reviews of the business line’s brokerage, investment advisory, institutional capital markets and investment service activities to ensure adherence with applicable procedures and regulatory requirements
Responsible for effective verbal communication of testing results to the Manager, including well written draft reports, and for responding to and/or escalating significant risks as appropriate
Identify and recommend corrective action necessary to address compliance gaps or improve adherence to regulatory requirements
Develop a strong understanding of the business line’s key risks and corresponding controls
Evaluate the adequacy of the business line’s controls
Maintain thorough documentation of work performed and support conclusions
Provide detailed written reports summarizing findings and present to the testing manager
Participate in compliance projects and initiatives, as necessary; and
Keep abreast of legal and regulatory matters affecting the compliance testing program
Qualification
Required
Bachelor's degree, or equivalent work experience
Typically more than six years of applicable experience
Preferred
Excellent organization skills, ability to manage multiple priorities, ability to meet time sensitive deadlines
Demonstrated ability to take initiative and operate independently, while able to work effectively in a team environment
Hyper-organization, responsiveness, and a meticulous eye for detail—you catch what others miss and follow through every time
A proactive, self-starting mindset—you take initiative, anticipate roadblocks, and don't wait to be told what needs doing
Comfort working in ambiguity and building structure as you go—you thrive in environments where the path isn't fully mapped out
Strong knowledge of laws and regulations associated with business line activities
Strong oral and written interpersonal communication skills
Thorough understanding of the business line's operations, product/services, systems, and associated risks/controls
Thorough knowledge of applicable laws, regulations, financial services, and regulatory trends that impact the business line
Thorough knowledge of Risk/Compliance/Audit competencies
Proficient computer skills, especially Microsoft Office applications
FINRA 7 and 24 licenses
Benefits
Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
Company
U.S. Bank
At U.S.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$991MKey Investors
U.S. Department of the TreasuryMitsubishi UFJ Financial Group
2023-09-29Post Ipo Debt· $55M
2023-08-03Post Ipo Debt· $936M
1978-01-13IPO
Leadership Team
John C Stern
CFO
Daniel Crozier
Senior Vice President Operations
Recent News
2025-12-24
2025-12-17
2025-12-17
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