OSJ Compliance & Sales Lead

U.S. Bank; Columbus (OH); On-site; USD 86,000 - 102,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) and employer-funded retirement

Paid vacation

Paid holidays

Sick leave

Adoption assistance

Job summary

U.S. Bank is seeking a senior supervisor for OSJ oversight within Wealth Management. You will coach, monitor, and ensure compliance with FINRA, SEC, MSRB, and internal policies while coordinating annual reviews and regulatory training.

The role involves working with Market Leaders and other leaders to maintain high standards of supervision and ethics across the branch network in the United States. A financial services background is essential.

Qualifications

• Bachelor's degree, or equivalent work experience.
• Five or more years of experience in the financial services industry.
• Three to five years of sales supervision experience.
• FINRA Series 7, 24, 53, 63 and 65/66 licenses, and State Insurance license.

Responsibilities

• Supervise the OSJ Market Leader, Wealth Manager, and Associate to ensure adherence to WSPs.
• Review correspondence, client calls, and transaction reviews.
• Oversee annual examinations and ASeRs for registered representatives.
• Deliver supervision training and monitor continuing education requirements.
• Coordinate with other departments and influence policies.

Skills

Sales supervision

Regulatory compliance

Financial services experience

Communication skills

Education

Bachelor's degree or equivalent

Tools

Microsoft Office

WealthStation

Protegent

Job description

U.S. Bank is seeking a senior supervisor for OSJ oversight within Wealth Management. You will coach, monitor, and ensure compliance with FINRA, SEC, MSRB, and internal policies while coordinating annual reviews and regulatory training.

The role involves working with Market Leaders and other leaders to maintain high standards of supervision and ethics across the branch network in the United States. A financial services background is essential.