OSJ Supervision Lead for Wealth Compliance

U.S. Bank; St. Louis (MO); Hybrid; USD 86,000 - 102,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) and employer-funded retirement

Paid vacation (2–5 weeks depending on

Up to 11 paid holidays

Adoption assistance

Short-term and long-term disability

Job summary

U.S. Bank is seeking a dedicated supervisor for the Office of Supervisory Jurisdiction (OSJ) Market Leader role. You will oversee compliance with FINRA/SEC rules, coach staff, and coordinate annual reviews to ensure robust risk management across the market.

You will work with market leaders, regulators, and internal teams to maintain ethical standards and regulatory alignment. A strong background in financial services and licenses is required.

Qualifications

• Five or more years of experience in the financial services industry.
• Three to five years of sales supervision experience.

Responsibilities

• Cooperate with Market Leaders, Regional Administration Leader, and Central Principal to ensure adherence to FINRA, SEC, MSRB, OCC and internal policies.
• Supervise first-line compliance and review activities; monitor associated persons’ adherence to policies.
• Oversee annual OSJ examination processes and conduct Annual Supervisory Reviews (ASeRs) for all registered reps.
• Identify training needs and deliver supervision/training for associated persons.
• Contribute to policy/procedure improvements via committees or special projects.

Skills

Five+ years of experience in financial

Three to five years of sales supervise

Education

Bachelor’s degree or equivalent work experience

Tools

FINRA licenses 7/24/53/63/65/66

State Insurance license

Job description

U.S. Bank is seeking a dedicated supervisor for the Office of Supervisory Jurisdiction (OSJ) Market Leader role. You will oversee compliance with FINRA/SEC rules, coach staff, and coordinate annual reviews to ensure robust risk management across the market.

You will work with market leaders, regulators, and internal teams to maintain ethical standards and regulatory alignment. A strong background in financial services and licenses is required.