U.S. Bank
U.S. Bank
U.S. Bank is a United States-based financial services institution serving individuals and businesses through retail and corporate banking, wealth management, credit underwriting, and investment management. The company also supports financial literacy initiatives and community engagement. Its careers content highlights an emphasis on inclusion, workplace culture, employee development, and health and wellness. U.S. Bank is an FDIC member for eligible deposit products; investment and insurance products are not FDIC insured and may lose value.

Senior Auditor, Wealth and Institutional Banking (Hybrid)

Lead risk-based audits across U.S. Bank’s wealth, brokerage, advisory, and institutional banking activities. Evaluate controls, validate issues, and deliver insights that strengthen governance and risk management.

Description

  • Help plan and deliver audits of retail brokerage and advisory services, including exposure to asset management activities
  • Independently perform risk-based audits, enhanced continuous monitoring reviews, and issue validation work
  • Manage audit engagements from risk assessment through walkthroughs, process documentation, and control testing
  • Review regulatory, operational, and governance controls for retail broker-dealer and registered investment adviser activities
  • Map and document processes, identify control weaknesses, and prepare audit findings
  • Evaluate risk severity, root causes, and potential effects, then communicate conclusions to management
  • Work with business and risk partners to challenge existing practices and influence stronger controls
  • Support ongoing monitoring and validation of previously identified issues
  • Apply data analytics and AI-enabled methods to broaden audit coverage, improve efficiency, and generate insight
  • Act as the functional link between the Line of Business and the Lines of Defense
  • Deliver risk-focused perspectives to senior management and support the Audit Committee’s approved audit plan

Requirements

  • Bachelor’s degree or equivalent professional experience
  • Generally more than five years of relevant experience
  • Advanced knowledge of applicable laws, regulations, financial services, and regulatory developments affecting the assigned business area
  • Advanced understanding of business operations, products and services, systems, and related risks and controls
  • Strong command of risk, compliance, and audit practices
  • Strong analytical, process facilitation, and project management abilities
  • Effective presentation, interpersonal, written, and verbal communication skills
  • Proficiency with Microsoft Office, including word processing, spreadsheets, databases, and presentation tools
  • Relevant professional certifications
  • Ability to work from a U.S. Bank location at least three days each week
  • Ability to follow U.S. Bank policies and procedures, including its Code of Ethics and Business Conduct and workplace safety requirements

Benefits

  • Medical, dental, and vision healthcare coverage
  • Basic and optional term life insurance
  • Short- and long-term disability coverage
  • Pregnancy disability and parental leave
  • 401(k) and employer-funded retirement plan
  • Paid vacation ranging from two to five weeks based on salary grade and tenure
  • Up to 11 paid holiday opportunities
  • Adoption assistance
  • Sick and Safe Leave accrued at one hour per 30 hours worked, up to 80 hours per calendar year unless otherwise required by law
  • Incentive and recognition programs
  • Employee equity stock purchase opportunity
  • 401(k) contributions and pension

Related Jobs

SPERTON - Where Great People Meet

Sales Executive, Elevators and Car Parking Systems

SPERTON - Where Great People Meet
51 – 200 Employees

Drive elevator and car parking system sales across Mumbai’s Western Region. Build client and dealer relationships, and manage deals from initial enquiry through project execution.

Open