Senior OSJ Compliance & Supervision Lead

U.S. Bank; Chesterfield (MO); Hybrid; USD 86,000 - 102,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

401(k) and retirement plan

Paid vacation

Job summary

U.S. Bank is seeking an experienced supervisor to manage the Office of Supervisory Jurisdiction (OSJ) Market Leader, Wealth Management Advisor, and Wealth Management Associate roles. You will ensure adherence to WSPs, coach staff, and drive regulatory compliance across the market.

The role focuses on monitoring risk, enforcing ethics and AML/BSA procedures, and coordinating annual OSJ examinations. A hybrid schedule requires in-office presence and flexibility for external work as needed.

Qualifications

• Bachelor's degree, or equivalent work experience.
• Five or more years of experience in financial services industry.
• Three to five years of sales supervision experience.
• FINRA Series 7, 24, 53, 63 and 65/66 licenses, and State Insurance license.

Responsibilities

• Supervise first line oversight of associated persons for OSJ Market Leader, Advisor, and Associate.
• Ensure adherence to FINRA, SEC, MSRB, OCC, and internal policies.
• Oversee compliance with Code of Ethics, AML/BSA, information security, and suspicious activity reporting.
• Perform delegated supervisory tasks including reviewing correspondence, client calls, and transaction reviews.
• Oversee OSJ annual examinations and complete ASeR reports with corrective actions.
• Provide training on supervision and regulatory requirements to staff as needed.
• Act as liaison between market and other departments on supervision matters.

Skills

Sales supervision

Regulatory compliance

Education

Bachelor's degree or equivalent

Tools

FINRA licenses & State Insurance license

Job description

U.S. Bank is seeking an experienced supervisor to manage the Office of Supervisory Jurisdiction (OSJ) Market Leader, Wealth Management Advisor, and Wealth Management Associate roles. You will ensure adherence to WSPs, coach staff, and drive regulatory compliance across the market.

The role focuses on monitoring risk, enforcing ethics and AML/BSA procedures, and coordinating annual OSJ examinations. A hybrid schedule requires in-office presence and flexibility for external work as needed.