OSJ Supervision Principal: Compliance & Leadership

U.S. Bank; Missouri; Hybrid; USD 86,000 - 102,000; Full time

Benefits offered by this job

Healthcare

Life insurance

Disability insurance

Parental leave

401(k) plan

Paid vacation

Paid holidays

Adoption assistance

Sick leave

Job summary

U.S. Bank is seeking a seasoned supervisor to manage OSJ Market Leader teams and wealth management staff, ensuring adherence to firm guidelines and regulatory requirements.

The role emphasizes coaching and exam readiness, with a focus on developing strong supervisory practices from Day One. The position partners with Market Leaders and central administration to enforce FINRA, SEC, MSRB, and OCC policies, while coordinating annual examinations, training, and continuing education for associated

Qualifications

• Bachelor's degree or equivalent work experience.
• 5+ years of experience in financial services industry.
• 3–5 years of sales supervision experience.
• FINRA Series 7, 24, 53, 63 and 65/66 licenses, plus State Insurance license.

Responsibilities

• Supervise associated persons and coach on compliance with risk policies.
• Review correspondence, monthly client calls and transaction reviews.
• Oversee OSJ annual examination process and ASeRs.
• Deliver supervision training to individuals or market-wide as needed.
• Coordinate with Market Leader, Region Administration Leader and Central Principal on policy adherence.
• Assist in ensuring adherence to FINRA, SEC, MSRB, OCC and internal policies.

Skills

Coaching & training

Regulatory compliance

Leadership

Communication

Education

Bachelor's degree

Tools

Microsoft Office Suite

WealthStation

Protegent

Job description

U.S. Bank is seeking a seasoned supervisor to manage OSJ Market Leader teams and wealth management staff, ensuring adherence to firm guidelines and regulatory requirements.

The role emphasizes coaching and exam readiness, with a focus on developing strong supervisory practices from Day One. The position partners with Market Leaders and central administration to enforce FINRA, SEC, MSRB, and OCC policies, while coordinating annual examinations, training, and continuing education for associated