Central Supervision Principal
About the role
Provides direct sales supervision of securities transactions and new accounts. Ensures internal compliance policies, 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 policies. 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 appropriate. Analyzes, reviews, and approves transactions, accounts, and trades. Performs pre-approvals on transactions. Analyzes advisor activity for trends and patterns.
Responsibilities
- Provide direct sales supervision of securities transactions and new accounts
- Ensure internal compliance policies, procedures, and processes comply with laws and regulations
- Work with Regional Manager and Field Supervision Principal to ensure adherence to FINRA, MSRB, OCC, and internal compliance policies
- Act as primary compliance consultant for assigned location, business unit(s), or product(s)
- Enforce compliance policies and escalate concerns when appropriate
- Analyze, review, and approve transactions, accounts, and trades
- Perform pre-approvals on transactions
- Analyze 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
Preferred Skills/Experience
- Thorough knowledge of securities products
- Ability to identify and resolve exceptions and 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
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
Pay
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. Pay Range: $75,905.00 - $89,300.00. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase, and 401(k) contribution and pension (all benefits are subject to eligibility requirements).