Securities Compliance & Trade Oversight Lead

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

Benefits offered by this job

Healthcare

Life insurance

Disability insurance

401(k)

Paid vacation

Paid holidays

Parental leave

Job summary

U.S. Bank in Tempe, AZ is seeking a seasoned Compliance/Trading 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, and coordinate with regional leadership. The role requires a bachelor’s degree or equivalent, 5+ years in the broker/dealer industry, and FINRA Series 7, 63, 65 or 66, 24, 53, 4 plus state licenses.

Qualifications

• Bachelor's degree or equivalent work experience required.
• 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 required.

Responsibilities

• Provide direct sales supervision of securities transactions and new accounts.
• Ensure compliance with FINRA, MSRB, OCC and internal policies.
• Analyze, review and approve transactions, accounts and trades; perform pre-approvals.

Skills

Securities product knowledge

Interpersonal skills

Client service

Communication skills

MS Office

Education

Bachelor's degree or equivalent work experience

FINRA Series 7, 63, 65 or 66, 24, 53, 4 licenses

State insurance licenses

Tools

Microsoft Office

Job description

U.S. Bank in Tempe, AZ is seeking a seasoned Compliance/Trading 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, and coordinate with regional leadership. The role requires a bachelor’s degree or equivalent, 5+ years in the broker/dealer industry, and FINRA Series 7, 63, 65 or 66, 24, 53, 4 plus state licenses.