Central Supervision Principal

Us Bank; Brea (CA); On-site; USD 76,000 - 89,000; Full time

Benefits offered by this job

Healthcare

401(k) retirement plan

Paid vacation

11 paid holidays

Adoption assistance

Sick and Safe Leave

Job summary

U.S. Bank is seeking a role that provides direct sales supervision of securities transactions and new accounts. The position ensures adherence to FINRA/ MSRB and OCC rules, and serves as the primary compliance consultant for relevant units, assessing trades and pre-approving transactions.

The role requires 5+ years in the broker/dealer industry, FINRA licenses, and a strong knowledge of securities products, with emphasis on data interpretation and client service.

Qualifications

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

Responsibilities

• Provide direct sales supervision of securities transactions and new accounts.
• Ensure compliance with FINRA, MSRB, OCC and internal policies.
• Act as primary compliance consultant/resource for assigned location, business units or products.
• Analyze, review and approve transactions, accounts and trades; perform pre-approvals.
• Analyze advisor activity for trends and patterns; escalate concerns when needed.

Skills

Securities products knowledge

Data interpretation

Multitasking

Interpersonal skills

MS Office proficiency

Desktop planning tools

Verbal and written communication

Education

Bachelor's degree or equivalent work experience

Tools

Microsoft Office

Job description

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.

Job Description

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.

Basic Qualifications

• 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 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

Location expectations

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

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:

Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:

• 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

Review our full benefits available by employment status here.

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.

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 E-Verify program.

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. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $75,905.00 - $89,300.00

U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.

Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Posting may be closed earlier due to high volume of applicants.