Securities Compliance & Trade Oversight Lead

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

Benefits offered by this job

Healthcare

Life insurance

Disability

401(k)

Paid vacation

Paid holidays

Adoption assistance

Sick leave

Job summary

U.S. Bank in Minnesota is seeking a senior compliance-focused supervisor who oversees direct sales of securities and new accounts.

You will work with the Regional Manager and Field Supervision Principal to ensure adherence to FINRA, MSRB, OCC and internal policies. The role requires strong regulatory knowledge, experience in the broker/dealer industry, and the ability to analyze transactions and advisor activity.

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.
• Analyses, reviews, and approves transactions, accounts, and trades; performs pre‑approvals on transactions.
• Analyses advisor activity for trends and patterns.

Skills

Brokerage exp

FINRA licenses

Regulatory knowledge

MS Office

Education

Bachelor's degree or equivalent

Tools

Microsoft Office

Job description

U.S. Bank in Minnesota is seeking a senior compliance-focused supervisor who oversees direct sales of securities and new accounts.

You will work with the Regional Manager and Field Supervision Principal to ensure adherence to FINRA, MSRB, OCC and internal policies. The role requires strong regulatory knowledge, experience in the broker/dealer industry, and the ability to analyze transactions and advisor activity.