Senior Auditor – Wealth, Corporate, Commercial and Institutional Banking

U.S. Bank

. Support the development, implementation, and execution of the retail brokerage and advisory services audit plan, with exposure to asset management activities .

Posted 10/5/2026full-timeUnited StatesSenior💰 $92,820 - $109,200 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates advanced knowledge of regulatory compliance and risk management within the financial services sector, with strong analytical and project management skills to execute comprehensive audit engagements. Proficient in leveraging data analytics to enhance audit processes and provide actionable insights to senior management.

Highest-signal resume keywords

Risk-Based AuditsRegulatory ComplianceData AnalyticsAudit EngagementsProcess Documentation

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk AssessmentControl TestingProcess FlowsAudit ObservationsRoot Cause AnalysisFinancial Services RegulationsGovernance ControlsContinuous MonitoringIssue ValidationProject Management

Soft Skills

Analytical SkillsInterpersonal SkillsPresentation SkillsWritten CommunicationVerbal Communication

Tools & Technologies

Microsoft OfficeSpreadsheetsDatabasesWord ProcessingPresentation Software

Certifications & Qualifications

Applicable Professional Certifications

Industry Keywords

Retail BrokerageAdvisory ServicesBroker-Dealer ActivitiesRegistered Investment AdvisorRisk ManagementAudit PlanOperational ControlsFinancial ServicesGovernanceCompliance

About the role

Key responsibilities & impact

Support the development, implementation, and execution of the retail brokerage and advisory services audit plan, with exposure to asset management activities
Execute risk-based audits, enhanced continuous monitoring engagements, and issue validation activities independently
Execute audit engagements end-to-end, including risk assessment, walkthroughs, process documentation, and control testing
Evaluate regulatory, operational, and governance controls across retail broker-dealer and registered investment advisor activities
Build and document process flows, identify control gaps, and develop audit observations
Assess risk severity, root cause, and potential impact, and articulate conclusions to management
Partner with business and risk stakeholders to challenge practices, provide audit perspectives, and influence control enhancements
Contribute to continuous monitoring and issue validation activities
Leverage data analytics and AI-enabled techniques to enhance audit coverage, efficiency, and insight
Serve as a functional liaison between the Line of Business and the Lines of Defense
Provide risk-focused insights to Senior Management and support the Audit Committee's approved audit plan

Requirements

What you’ll need

Bachelor's degree, or equivalent work experience
Typically, more than five years of applicable experience
Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends impacting the assigned line of business
Advanced understanding of business line operations, products/services, systems, and associated risks/controls
Thorough knowledge of Risk/Compliance/Audit competencies
Strong analytical, process facilitation, and project management skills
Effective presentation, interpersonal, written, and verbal communication skills
Proficient computer navigation skills using Microsoft Office applications, word processing, spreadsheets, databases, and presentations
Applicable professional certifications
Ability to work from a U.S. Bank location three or more days per week
Ability to comply with U.S. Bank policies and procedures, including the Code of Ethics and Business Conduct and workplace conduct and safety policies

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