Senior Securities Compliance & Supervision Lead

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

Benefits offered by this job

Healthcare (medical, dental, vision)

Life insurance

Disability insurance

Paid vacation

401(k)

Job summary

U.S. Bank seeks an experienced compliance supervisor to oversee direct sales supervision of securities transactions and new accounts. The role ensures adherence to FINRA, MSRB, OCC rules and internal policies, acting as a primary compliance resource for trade-related questions and training.

The position requires strong analytical skills, excellent communication, and the ability to manage multiple projects while sustaining high standards of client service within a results-driven environment.

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.
• Analyzes, reviews, and approves transactions, accounts, and trades.
• Performs pre-approvals on transactions.
• Analyzes advisor activity for trends and patterns.
• Enforces compliance policies and procedures and escalates concerns when appropriate.
• Works with Regional Manager and Field Supervision Principal to ensure adherence to FINRA, MSRB, OCC, and internal policies.

Skills

Verbal communication

Written communication

Interpersonal skills

Education

Bachelor's degree or equivalent

Tools

Microsoft Office

Job description

U.S. Bank seeks an experienced compliance supervisor to oversee direct sales supervision of securities transactions and new accounts. The role ensures adherence to FINRA, MSRB, OCC rules and internal policies, acting as a primary compliance resource for trade-related questions and training.

The position requires strong analytical skills, excellent communication, and the ability to manage multiple projects while sustaining high standards of client service within a results-driven environment.