Securities Compliance & Trade Oversight Leader

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

Benefits offered by this job

Healthcare

401(k) retirement plan

Paid vacation

11 paid holidays

Adoption assistance

Sick and Safe Leave

Job summary

U.S. Bank is seeking a role that provides direct sales supervision of securities transactions and new accounts. The position ensures adherence to FINRA/ MSRB and OCC rules, and serves as the primary compliance consultant for relevant units, assessing trades and pre-approving transactions.

The role requires 5+ years in the broker/dealer industry, FINRA licenses, and a strong knowledge of securities products, with emphasis on data interpretation and client service.

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 licenses

Responsibilities

• Provide direct sales supervision of securities transactions and new accounts.
• Ensure compliance with FINRA, MSRB, OCC and internal policies.
• Act as primary compliance consultant/resource for assigned location, business units or products.
• Analyze, review and approve transactions, accounts and trades; perform pre-approvals.
• Analyze advisor activity for trends and patterns; escalate concerns when needed.

Skills

Securities products knowledge

Data interpretation

Multitasking

Interpersonal skills

MS Office proficiency

Desktop planning tools

Verbal and written communication

Education

Bachelor's degree or equivalent work experience

Tools

Microsoft Office

Job description

U.S. Bank is seeking a role that provides direct sales supervision of securities transactions and new accounts. The position ensures adherence to FINRA/ MSRB and OCC rules, and serves as the primary compliance consultant for relevant units, assessing trades and pre-approving transactions.

The role requires 5+ years in the broker/dealer industry, FINRA licenses, and a strong knowledge of securities products, with emphasis on data interpretation and client service.