Senior Auditor - Capital Markets

At U.S. Bank, we're passionate about helping customers and the communities where we live and work. The fifth-largest bank in the United States, we're one of the country's most respected, innovative and successful financial institutions. U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors. Job Description The Corporate Audit Services Senior Auditor is primarily responsible for completing audit engagement assignments with minimal supervision from audit team management. The Senior Auditor is expected to understand risk and risk management techniques, identify and analyze business processes, key risks and critical controls, and evaluate control design adequacy; perform or supervise control testing; and document work performed in conformance with internal audit policies and procedures. Duties - Assisting the audit team management in planning audit engagements. Includes understanding risk and risk management techniques; identifying and analyzing business processes, key risks and critical controls; interviewing auditees; and evaluating control design adequacy. - Performing or supervising staff auditors in the testing of controls based on audit program directions. Includes using appropriate sampling and control testing techniques; identifying and assessing the relevancy of possible issues; and documenting work performed to support audit scope/conclusions, to facilitate an efficient review, and to meet internal audit policies and procedures. - Drafting audit issues under the supervision of the audit team management. Includes drafting potential exposures and significance, identifying appropriate root causes, and developing recommendations that are operationally effective and cost-effective actions to address those causes. - Assisting the audit team management in the reporting and wrap-up phases of audits. Includes assisting with drafting audit reports. - Learning from and applying coaching received. - Performing other duties as requested by management. Basic Qualifications - Bachelor's degree, or equivalent work experience - Typically five or more years of applicable experience Preferred Skills/Experience - Advanced knowledge of Capital Markets laws, regulations, financial services, and regulatory trends that impact their assigned line of business (e.g. Swap Dealer, Market Risk Rule, FINRA, MSRB, Volcker, SEA 1934) - Advanced understanding of the Capital Markets business line's operations, products/services, systems, and associated risks/controls - Advanced knowledge of Risk/Compliance/Audit competencies - Strong process facilitation, project management, and analytical skills - Capital Markets business acumen and credibility to help business line(s) proactively identify and address changing workforce needs - Excellent presentation, interpersonal, written and verbal communication skills - CIA, CPA or other relevant professional designation or advanced degree. - Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations - Applicable professional certifications preferred 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: Take care of yourself and your family with U.S. Bank employee benefits. We know that healthy employees are happy employees, and we believe that work/life balance should be easy to achieve. That's why we share the cost of benefits and offer a variety of programs, resources and support you need to bring your full self to work and stay present and committed to the people who matter most - your family. Learn all about U.S. Bank employee benefits, including tuition reimbursement, retirement plans and more, by visiting . EEO is the Law Applicants can learn more about the company's status as an equal opportunity employer by viewing the federal EEO is the Law () poster. 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 () . Salary range reflected is an estimate of base pay and is for the primary location. Base pay range may vary if an offer is made for work in a different location. Pay Range: $87,465.00 - $102,900.00 - $113,190.00 Due to legal requirements, U.S. Bank requires that the successful candidate hired for some positions be fully-vaccinated for COVID-19, absent being granted an accommodation due to a medical condition, pregnancy, or sincerely held religious belief or other legally required exemption. For these positions, as part of the conditional offer of employment, the successful candidate will be asked to provide proof of vaccination or approval for an accommodation or exemption upon hire. U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.