Regulatory Exam Manager
At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.
Job Description
Regulatory Exam Manager
The Regulatory Exam Team oversees and implements the Bank’s formal examination management program to ensure a consistent approach across the enterprise. This includes working with business lines to manage exam processes such as exam planning, exam responses, meetings with regulators, tracking requests and submissions, reporting, and maintaining an enterprise repository of exam records. The team stays informed of regulatory developments in areas of interest to Bank regulators, and helps to identify and resolve potential regulatory issues as they become apparent through the course of regulatory exams.
The Regulatory Exam Manager implements the exam management process, which may include:
- Exam planning
- Researching exam history and regulatory trends to provide strategic perspectives to business lines and senior management
- Preparing exam responses and coordinating interviews and meetings
- Assembling multidisciplinary teams, including subject matter experts and other personnel
- Preparing briefing books, position papers, or presentations
- Tracking the status of regulator requests and submissions
- Monitoring and reporting on exam status, including escalation of potential issues as they become apparent
- Assisting in the resolution of regulatory issues
- Maintaining exam records
- Fostering strong relationships with regulators, business lines, and senior management
- Developing and fostering relationships with business-line personnel, and collaborating to ensure timely and thorough resolution plan status updates
- Keeping informed of regulatory trends
- Exercising sound judgment to meet position responsibilities
The Regulatory Exam Manager would maintain partnerships and general support to assigned groups in regulatory matters, and manage or perform other tasks or projects as assigned or needed.
Basic Qualifications
- Bachelor's degree, or equivalent work experience
- Typically more than 8 years of applicable experience
Preferred Skills/Experience
- Substantial experience in regulatory compliance activities, or equivalent work experience managing complex processes regarding legal or regulatory matters (such as litigation, project management, risk management, or audit)
- Proficiency in office applications; including word processing, PowerPoint, spreadsheets, and databases
- Excellent verbal and written communication skills
- Ability to research and manage multiple projects and deadlines simultaneously
- Strong presentation skills
- Advanced degree or certifications, including JD or MBA
- Substantial experience in regulatory compliance activities, or equivalent work experience managing complex processes regarding legal or regulatory matters (such as litigation or project management)
- Advanced knowledge of government and regulatory laws and regulations; and the supervisory oversight exercised by the Office of the Comptroller of the Currency (OCC), Federal Reserve Bank (FRB), the Consumer Financial Protection Bureau (CFPB), Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), and the National Futures Association (NFA)
- Thorough knowledge of U.S. Bancorp operations, policies, and procedures
**The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.**
If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.
Benefits:
Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
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
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
E-Verify
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program.
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $119,765.00 - $140,900.00 - $154,990.00U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
Average salary estimate
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At U.S. Bank, the role of the Regulatory Exam Manager is a pivotal one in ensuring our compliance with industry regulations and facilitating effective examination processes. Based in Minneapolis, MN, the Regulatory Exam Manager will oversee the Bank's examination management program, collaborativing with various business lines to streamline exam planning, responses, and interactions with regulators. You will play a crucial role in forming and leading multidisciplinary teams to tackle complex regulatory issues, preparing comprehensive responses to regulatory inquiries, and developing materials such as briefing books and position papers. This role isn't just about management; it's about strategy! By researching regulatory trends and the Bank's past examination history, you can provide invaluable insights that assist senior management and drive decisions to maintain compliance. Strong relationship-building skills are essential as you'll foster connections not only within U.S. Bank but also with regulatory entities. The role offers a fantastic hybrid work schedule, allowing for a balanced approach to in-office and remote work, tailored to help you perform at your best. With more than 8 years of experience typically required, this position is for those who thrive on managing complex projects and enjoy collaborating with experts across various fields. If you are looking for a role where you can combine your compliance expertise with strategic oversight and make a tangible impact on our compliance posture, we invite you to explore this opportunity with us at U.S. Bank!
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U.S. Bancorp, with approximately 70,000 employees and $601 billion in assets as of September 30, 2022, is the parent company of U.S. Bank National Association. The Minneapolis-based company serves millions of customers locally, nationally and glob...
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