Securities Compliance Lead – Regional Supervisor

U.S. Bank; Northern (KY); Hybrid; USD 71,000 - 84,000; Full time

Benefits offered by this job

Healthcare

401(k) plan

Paid vacation

Job summary

U.S. Bank is seeking a Central Supervision Principal to lead the direct sales supervision of securities transactions and new accounts across multiple locations, ensuring strict compliance with FINRA, MSRB, OCC, and internal policies.

You will serve as the primary compliance consultant for assigned locations and products. The role requires a Bachelor's degree (or equivalent), 5+ years in the broker/dealer industry, and FINRA licenses.

Qualifications

• Bachelor's degree, or equivalent work experience.
• Five or more years of experience in the broker/dealer industry.
• FINRA Series 7, 63, 65 or 66, 24, 53, 4 and state insurance licenses.

Responsibilities

• Provide direct sales supervision of securities transactions and new accounts.
• Ensure internal compliance policies and procedures align with laws and regulations.
• Collaborate with Regional Manager and Field Supervision Principal to ensure FINRA/MSRB/OCC compliance.
• Analyze, review, and approve transactions, accounts, and trades.
• Perform pre-approvals on transactions and monitor advisor activity for trends.

Skills

Securities industry experience

Regulatory knowledge

Communication skills

Microsoft Office

Education

Bachelor's degree

Job description

U.S. Bank is seeking a Central Supervision Principal to lead the direct sales supervision of securities transactions and new accounts across multiple locations, ensuring strict compliance with FINRA, MSRB, OCC, and internal policies.

You will serve as the primary compliance consultant for assigned locations and products. The role requires a Bachelor's degree (or equivalent), 5+ years in the broker/dealer industry, and FINRA licenses.