Securities Compliance & Supervision Lead

US Bank; Saint Paul (MN); On-site; USD 71,000 - 84,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

Life insurance

Disability insurance

Parental leave

401(k) retirement plan

Paid vacation

Paid holidays

Adoption assistance

Sick leave

Job summary

U.S. Bank seeks a compliance-focused leader to supervise securities transactions and new accounts, ensuring strict adherence to FINRA, MSRB, and OCC rules. The role serves as a primary compliance consultant within assigned locations, analyzes activity, and approves transactions and trade activity.

The candidate should have 5+ years in the broker/dealer industry, relevant FINRA/state licenses, and a thorough knowledge of securities products and processes.

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, procedures and processes comply with laws and regulations.
• Consult with Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC and internal compliance policies.
• Act as the primary compliance consultant/resource for assigned location, business unit(s), or product(s).
• Analyze, review, and approve transactions, accounts, and trades.
• Perform pre-approvals on transactions.
• Analyze advisor activity for trends and patterns.

Skills

Securities knowledge

Data interpretation

Project management

Interpersonal skills

MS Office

Communication skills

Education

Bachelor's degree

Tools

FINRA licenses

Job description

U.S. Bank seeks a compliance-focused leader to supervise securities transactions and new accounts, ensuring strict adherence to FINRA, MSRB, and OCC rules. The role serves as a primary compliance consultant within assigned locations, analyzes activity, and approves transactions and trade activity.

The candidate should have 5+ years in the broker/dealer industry, relevant FINRA/state licenses, and a thorough knowledge of securities products and processes.