Securities Compliance & Trade Oversight Lead

U.S. Bank; Brea (CA); On-site; USD 76,000 - 89,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) and employer-funded retirement

Paid vacation

11 paid holidays

Job summary

U.S. Bank is seeking a supervisor to oversee direct sales supervision of securities transactions and new accounts. The role ensures adherence to FINRA, MSRB, OCC, and internal compliance policies, acting as the primary compliance consultant for the location and product lines.

The ideal candidate holds a Bachelor's degree (or equivalent) with five+ years in the broker/dealer industry and FINRA licenses. Strong data interpretation and communication skills are essential in a dynamic team

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 internal compliance policies, procedures and processes comply with laws and regulations.
• Acts as primary compliance consultant/resource for assigned location, business unit(s), or product(s).
• Enforces compliance policies and procedures and escalates concerns when appropriate.
• Analyzes, reviews, and approves transactions, accounts, and trades.

Skills

Brokerage experience

FINRA licenses

Regulatory compliance

Data analysis

Microsoft Office

Education

Bachelor's degree

Tools

Microsoft Office

Job description

U.S. Bank is seeking a supervisor to oversee direct sales supervision of securities transactions and new accounts. The role ensures adherence to FINRA, MSRB, OCC, and internal compliance policies, acting as the primary compliance consultant for the location and product lines.

The ideal candidate holds a Bachelor's degree (or equivalent) with five+ years in the broker/dealer industry and FINRA licenses. Strong data interpretation and communication skills are essential in a dynamic team