OSJ Supervision Lead - Wealth Management Compliance

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

Benefits offered by this job

Healthcare (medical, dental, vision)

Life insurance

Disability

Parental leave

401(k)

Paid vacation

Paid holidays

Adoption assistance

Sick leave

Job summary

U.S. Bank in St. Louis seeks a seasoned supervisor to oversee the OSJ Market Leader, Wealth Management Advisor and Associate teams. You will help ensure adherence to WSPs, coach staff, and oversee regulatory and compliance programs.

You will review communications, conduct annual examinations and supervisory reviews, coordinate training, and act as a liaison across departments to maintain high standards of risk management and ethics.

Qualifications

• Bachelor's degree, or equivalent work experience
• Five or more years of experience in 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 adherence to firm and regulatory risk policies; coach associated persons
• Oversee OSJ annual examination process and ASeRs
• Review correspondence, monthly client calls, and transaction reviews
• Ensure completion of continuing education requirements (Firm Element, regulatory CE)
• Liaise with other departments on supervision-related matters

Skills

Sales supervision

Regulatory compliance

Coaching

Education

Bachelor's degree

Tools

Microsoft Office

WealthStation

Protegent

Job description

U.S. Bank in St. Louis seeks a seasoned supervisor to oversee the OSJ Market Leader, Wealth Management Advisor and Associate teams. You will help ensure adherence to WSPs, coach staff, and oversee regulatory and compliance programs.

You will review communications, conduct annual examinations and supervisory reviews, coordinate training, and act as a liaison across departments to maintain high standards of risk management and ethics.