Securities Compliance Supervisor

U.S. Bank; St. Louis (MO); Hybrid; USD 71,000 - 84,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

Life insurance

Disability insurance

401(k) and retirement plan

Paid vacation

Paid holidays

Adoption assistance

Sick leave per policy

Job summary

U.S. Bank seeks a seasoned supervisor to oversee securities transactions and new accounts, ensuring adherence to FINRA, MSRB, OCC and internal policies. You will serve as the primary compliance consultant for the location, training teams and escalating concerns when needed.

The role requires five+ years in the broker/dealer space, along with FINRA and state insurance licenses, and strong data interpretation and multi-project management skills.

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

• Provides direct sales supervision of securities transactions and new accounts.
• Ensures compliance with FINRA, MSRB, OCC and internal policies.
• Analyzes, reviews, and approves transactions, accounts, and trades.
• Performs pre-approvals on transactions.
• Analyzes advisor activity for trends and patterns.

Skills

Bachelor's degree

Broker/dealer experience

Microsoft Office

Education

Bachelor's degree or equivalent

Tools

Microsoft Office

Job description

U.S. Bank seeks a seasoned supervisor to oversee securities transactions and new accounts, ensuring adherence to FINRA, MSRB, OCC and internal policies. You will serve as the primary compliance consultant for the location, training teams and escalating concerns when needed.

The role requires five+ years in the broker/dealer space, along with FINRA and state insurance licenses, and strong data interpretation and multi-project management skills.