Securities Compliance & Trading Supervisor

U.S. Bank; Cincinnati (OH); On-site; USD 71,000 - 84,000; Full time

Job summary

U.S. Bank in Cincinnati seeks an experienced Compliance Supervisor to oversee securities transactions and new accounts, ensuring adherence to FINRA, MSRB, OCC, and internal policies.

You will partner with the Regional Manager to review and approve trades, analyze advisor activity, and provide guidance on regulatory questions. Strong communication and analytical skills are essential for success in this onsite role.

Qualifications

• Bachelor's degree or equivalent work experience.
• Five+ years in the broker/dealer industry.
• FINRA Series 7, 63, 65/66, 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.
• Analyze, review, and approve transactions, accounts, and trades.
• Perform pre-approvals on transactions and monitor advisor activity.

Skills

Securities knowledge

Client service

Teamwork

Microsoft Office

Data analysis

Compliance

Education

Bachelor's degree or equivalent

Tools

FINRA licenses

Trading platforms

Job description

U.S. Bank in Cincinnati seeks an experienced Compliance Supervisor to oversee securities transactions and new accounts, ensuring adherence to FINRA, MSRB, OCC, and internal policies.

You will partner with the Regional Manager to review and approve trades, analyze advisor activity, and provide guidance on regulatory questions. Strong communication and analytical skills are essential for success in this onsite role.