Central Supervision Principal jobs in United States
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U.S. Bank · 9 hours ago

Central Supervision Principal

positionNewport Beach, CA
timeFull-time
remoteOnsite
senioritySenior Level, Lead/Staff
money$76K/yr - $89K/yr
date5+ years exp

U.S. Bank is committed to helping customers and businesses make better financial decisions. The Central Supervision Principal will provide direct sales supervision of securities transactions, ensure compliance with laws and regulations, and act as a primary compliance consultant for assigned locations and business units.

BankingFinancial ServicesInsuranceMortgageWealth Management

Responsibilities

Provides direct sales supervision of securities transactions and new accounts
Ensures internal compliance polices, 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 polices
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
Enforces compliance policies and procedures and escalates concerns when it is appropriate to do so
Analyzes, reviews, and approves transactions, accounts, and trades
Performs pre-approvals on transactions
Analyzes advisor activity for trends and patterns

Qualification

FINRA licensesBroker/dealer experienceSecurities products knowledgeData interpretationClient service skillsMicrosoft Office proficiencyInterpersonal skillsTeamwork skillsVerbal communicationWritten communication

Required

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

Preferred

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

Benefits

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

Company

U.S. Bank

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Glassdoor3.6
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At U.S.
dateFounded in 1968
location
Minneapolis, Minnesota, USA
people-size10001+ employees
web-link
http://www.usbank.com

Funding

Current Stage
Public Company
Total Funding
$991M
Key Investors
U.S. Department of the TreasuryMitsubishi UFJ Financial Group
2023-09-29Post Ipo Debt· $55M
2023-08-03Post Ipo Debt· $936M
1978-01-13IPO

Leadership Team

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John C Stern
CFO
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Shruti Patel
Executive Vice President & GM, CPO- Business Banking segment
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