Central Supervision Principal

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed.  We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.

Job Description

Provide direct sales supervision of securities transactions and new accounts. Ensure internal compliance policies, procedures and processes of the company comply with appropriate laws and regulations.

-Works closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance policies.

-Acts as the primary compliance consultant/resource for assigned location, business unit(s), or product(s) with respect to trade related questions, consulting, and training.

-Ensures trade activity within assigned locations, business unit(s), are suitable and in compliance with various policies and regulations.

-Enforces compliance policies and procedures and escalates concerns when it is appropriate to do so.

-Analyze, review, and approve transactions, accounts, and trades. Perform pre-approvals on transactions.

-Performs ongoing special projects assigned by Sales Supervision Manager.

-Analyze advisor activity for trends and patterns.

-Review USBA email.

-Actively ensures compliance with the U.S. Bank Code of Ethics and all Anti-Money Laundering, Bank Secrecy Act, information security and suspicious activity reporting requirements, policies, and procedures. Actively participates in any required corporate and business line training in these areas. Follows account-opening procedures and understands and follows internal suspicious activity referral requirements and processes, as required for this position. Actively works with customers to understand each customer’s normal account activity, as appropriate for this position.

Basic Qualifications
- Bachelor's degree, or equivalent work experience
- Two or more years of experience in the broker/dealer industry
- FINRA Series 7, 63, 65 or 66, 24, 53, 4 and state insurance licenses or the ability to acquire.

Preferred Skills/Experience
- Thorough knowledge of securities products
- Ability to identify and resolve exceptions and to interpret data
- Ability to handle multiple projects and deadlines simultaneously
- Excellent interpersonal, client service and teamwork skills
- Proficient computer skills, especially Microsoft Office applications
- Ability to use recommended desktop planning tools and processes
- Excellent verbal and written communication skills

If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.

Benefits: 

Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:

• Healthcare (medical, dental, vision)

• Basic term and optional term life insurance

• Short-term and long-term disability

• Pregnancy disability and parental leave

• 401(k) and employer-funded retirement plan

• Paid vacation (from two to five weeks depending on salary grade and tenure)

• Up to 11 paid holiday opportunities

• Adoption assistance

• Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

Review our full benefits available by employment status here.

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.

E-Verify

U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certai