OSJ Supervision Principal - Compliance & Training Lead

U.S. Bank; Cincinnati (OH); 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

11 paid holidays

Adoption assistance

Sick and Safe Leave

Job summary

U.S. Bank is seeking a Senior Supervisory professional to lead the OSJ Market team. The role focuses on ensuring adherence to WSPs, coaching staff on risk controls, and coordinating annual examinations. You will work with Market Leader and CP to align supervision with FINRA and regulatory standards.

The position offers a hybrid schedule with a mix of in-office and remote work, and requires extensive experience in financial services, licenses, and strong leadership in sales supervision.

Qualifications

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

Responsibilities

• Oversee supervisory activities ensuring adherence to WSPs.
• Monitor associated persons' compliance with risk management policies.
• Provide training on ethics, AML and regulatory requirements; conduct reviews.
• Oversee OSJ annual examination process and ASeRs, presenting actions to rectify issues.
• Collaborate with Market Leader, Region Administration Leader and CP on supervision matters.

Skills

Sales supervision

Regulatory compliance

Cross-functional collaboration

Education

Bachelor's degree or equivalent work experience

FINRA licenses and State Insurance license (7/24/53/63/65/66)

Tools

WealthStation

Protegent

Microsoft Office Suite

Job description

U.S. Bank is seeking a Senior Supervisory professional to lead the OSJ Market team. The role focuses on ensuring adherence to WSPs, coaching staff on risk controls, and coordinating annual examinations. You will work with Market Leader and CP to align supervision with FINRA and regulatory standards.

The position offers a hybrid schedule with a mix of in-office and remote work, and requires extensive experience in financial services, licenses, and strong leadership in sales supervision.