Head of Examinations and Dispute Resolution

U.S. Bank

. Manage a team of investment and insurance compliance professionals .

Posted 9/23/2026full-timeUnited StatesLead💰 $149,515 - $175,900 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates extensive experience in managing compliance programs, regulatory examinations, and risk management frameworks while ensuring adherence to federal, state, and local laws. Possesses strong leadership, analytical, and communication skills to effectively collaborate with stakeholders and drive process improvements.

Highest-signal resume keywords

Leadership And Management SkillsRisk Management Framework DevelopmentRegulatory Compliance KnowledgeProject Management SkillsFINRA Securities Industry Essentials (SIE)

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory ReportingExamination SchedulingComplaint InvestigationDue DiligencePolicy Violation ManagementAnalytical SkillsProblem-Solving SkillsNegotiation SkillsProcess OptimizationTime Management

Soft Skills

Effective Communication SkillsInterpersonal SkillsCoaching SkillsRelationship BuildingPresentation Skills

Tools & Technologies

Microsoft OfficeSpreadsheetsDatabasesPresentation Software

Certifications & Qualifications

FINRA Series 7FINRA Series 24Insurance-Related Licensure

Industry Keywords

Investment ComplianceInsurance ComplianceFinancial ServicesRegulatory TrendsBusiness Line OperationsAudit CompetenciesBroker-Dealer ExaminationAssociated Person Activity ReviewFederal And State RegulationsWorkplace Conduct Policies

About the role

Key responsibilities & impact

Manage a team of investment and insurance compliance professionals
Partner with Business Line and Corporate Compliance stakeholders to create, implement, maintain, review, and oversee a risk management framework spanning three programs
Ensure compliance with applicable federal, state, and local laws and regulations
Manage broker-dealer Examination, Complaints, and Associated Person Activity Review programs
Develop and approve examination schedules, conduct due diligence and exam preparation, disposition findings, and draft high-quality reports
Conduct complaint investigations, document case files, resolve complaints timely, and fulfill regulatory reporting obligations
Manage associated person activity cases, policy violation referrals, recommended disciplinary and non-disciplinary actions, and regulatory reporting
Provide managerial support for training, onboarding/offboarding, staff licensing requirements, workloads, process optimization, reporting routines, recordkeeping, and program documentation
Partner with the Chief Compliance Officer and Business Line Supervision on priorities, observations, and corrective actions
Partner with Legal, Human Resources, Business Line Supervision, Sales Management, and other stakeholders on associated person activity, escalations, training, and presentations
Manage regulatory examinations and inquiries, internal audits, and reviews
Track regulatory trends and participate in discussions affecting assigned programs
Draft reports for Senior Management, the Business Line, and Chief Compliance Officer
Lead or support evaluation and onboarding of third-party system providers
Perform other assigned projects

Requirements

What you’ll need

Bachelor's degree, or equivalent work experience
Typically, more than ten years of applicable experience
Strong leadership and management skills of processes, projects, and people
Effective written and verbal communication skills
Strong analytical, problem-solving and negotiation skills
FINRA Securities Industry Essentials (SIE), Series 7, and 24 registrations preferred
Additional licenses may be required after hire
Ability to travel up to 25% related to examinations
Insurance-related licensure preferred
Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends
Considerable understanding of business line operations, products/services, systems, and associated risks/controls
Considerable knowledge of risk, compliance, and audit competencies
Strong project management, project planning, time management, and coaching skills
Ability to identify trends and patterns and determine whether follow-up, escalation, or process improvements are needed
Ability to manage work independently and prioritize effectively
Ability to build and maintain relationships across the firm
Business acumen and credibility to identify and address changing workforce needs
Excellent presentation, interpersonal, written, and verbal communication skills
Proficient computer navigation skills using Microsoft Office, spreadsheets, databases, and presentation software
Excellent people-management skills
Ability to comply with U.S. Bank policies, Code of Ethics and Business Conduct, and workplace conduct and safety policies
Ability to meet applicable employment eligibility verification requirements

Benefits

Comp & perks

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
Incentive and recognition programs
Equity stock purchase
401(k) contribution and pension