Senior Auditor - Wealth, Corporate, Commercial and Institutional Banking

U.S. Bank Corporate Audit Services

U.S. Bank Corporate Audit Services (CAS) is seeking a strong candidate to join our growing team of audit professionals supporting the Wealth, Corporate, Commercial and Institutional Banking team. This role supports the development, implementation, and execution of the retail brokerage and advisory services audit plan, with supporting exposure to asset management activities.

Engagements executed in this role support the Audit Committee's approved audit plan and provide Senior Management with clear, risk-focused insights that strengthen key business processes and enhance the Company's governance, risk management framework, and supporting control environment.

The CAS Senior Auditor works closely with internal and external stakeholders as a trusted advisor, helping to influence and continuously improve the control environment. This role independently executes risk-based audits, enhanced continuous monitoring engagements, and issue validation activities, exercising sound professional judgment to deliver independent and objective conclusions. The Senior Auditor serves as a functional liaison between the Line of Business and the Lines of Defense.

Primary Responsibilities

• Independently executing audit engagements end-to-end, including risk assessment, walkthroughs, process documentation, and testing of control design and operating effectiveness
• Evaluating regulatory, operational, and governance controls across retail broker-dealer and registered investment advisor activities
• Building and documenting process flows, identifying control gaps, and developing well-supported audit observations
• Exercising professional judgment to assess risk severity, root cause, and potential impact, and clearly articulating conclusions to management
• Partnering effectively with business and risk stakeholders to challenge existing practices, provide credible audit perspectives, and influence control enhancements
• Contributing to enhanced continuous monitoring and issue validation activities to support sustained control effectiveness
• Leveraging data analytics and AI-enabled techniques to enhance audit coverage, efficiency, and insight, either through hands-on analysis or effective use of enterprise analytics capabilities

Basic Qualifications- Bachelor's degree, or equivalent work experience- Typically, more than five years of applicable experience

Preferred Skills/Experience

-Success in this role is demonstrated by the ability to deliver clear, concise, and actionable audit conclusions that improve management's understanding of key risks, drive meaningful control enhancements, adhere to regulatory requirements and support the objectives of retail brokerage and advisory services- Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business- Advanced understanding of the business line's 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 a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations- Applicable professional certifications

Location expectations This role requires working from a U.S. Bank location three (3) or more days per week.

Benefits:

• 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.