Central Supervision Principal

Responsibilities

• Provides direct sales supervision of securities transactions and new accounts.
• Ensures internal compliance polices, procedures and processes of the company comply with appropriate laws and regulations.
• Works closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance polices.
• Acts as the primary compliance consultant/resource for assigned location, business unit(s), or product(s) with respect to trade related questions, consulting, and training.
• Enforces compliance policies and procedures and escalates concerns when it is appropriate to do so.
• Analyzes, reviews, and approves transactions, accounts, and trades.
• Performs pre-approvals on transactions.
• Analyzes advisor activity for trends and patterns.

Requirements

• Bachelor's degree, or equivalent work experience
• Five or more years of experience in the broker/dealer industry
• FINRA Series 7, 63, 65 or 66, 24, 53, 4 and state insurance licenses

Skills

• Thorough knowledge of securities products
• Ability to identify and resolve exceptions and to interpret data
• Ability to handle multiple projects and deadlines simultaneously
• Excellent interpersonal, client service and teamwork skills
• Proficient computer skills, especially Microsoft Office applications
• Ability to use recommended desktop planning tools and processes
• Excellent verbal and written communication skills

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

Pay

$71,400.00 - $84,000.00

Schedule

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