Securities Compliance & Trade Oversight Lead

U.S. Bank; Glendale, Northern (CA, KY); Hybrid; USD 76,000 - 89,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) plan

Paid vacation

Adoption assistance

Job summary

U.S. Bank in California seeks a Senior Compliance Supervisor to oversee direct sales supervision of securities transactions and new accounts, ensuring adherence to FINRA, MSRB, OCC and internal policies.

The role collaborates with regional leadership to maintain compliance and drive consistent application of procedures. The ideal candidate has a bachelor's degree, 5+ years in the broker/dealer industry, FINRA licenses, and strong interpersonal, analytical and communication skills with

Qualifications

• Bachelor's degree or equivalent work experience required.
• Five+ years in the broker/dealer industry.
• FINRA licenses: 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.
• Works with Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC and internal policies.
• Acts as the primary compliance consultant/resource for assigned location, business unit or product.
• Analyzes, reviews, and approves transactions, accounts, and trades.
• Performs pre-approvals on transactions and analyzes advisor activity for trends.

Skills

Securities product knowledge

Data interpretation

Multi-project management

Interpersonal and teamwork

MS Office proficiency

Desktop planning tools

Verbal and written communication

Education

Bachelor's degree or equivalent

Job description

U.S. Bank in California seeks a Senior Compliance Supervisor to oversee direct sales supervision of securities transactions and new accounts, ensuring adherence to FINRA, MSRB, OCC and internal policies.

The role collaborates with regional leadership to maintain compliance and drive consistent application of procedures. The ideal candidate has a bachelor's degree, 5+ years in the broker/dealer industry, FINRA licenses, and strong interpersonal, analytical and communication skills with