Central Supervision Principal

1 week ago

Los Angeles CA United States US Bank Full time

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

Provides direct sales supervision of securities transactions and new accounts. Ensures 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. 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.

Basic Qualifications
  1. Bachelor's degree, or equivalent work experience
  2. Five or more years of experience in the broker/dealer industry
  3. FINRA Series 7, 63, 65 or 66, 24, 53, 4 and state insurance licenses
Preferred Skills/Experience
  1. Thorough knowledge of securities products
  2. Ability to identify and resolve exceptions and to interpret data
  3. Ability to handle multiple projects and deadlines simultaneously
  4. Excellent interpersonal, client service and teamwork skills
  5. Proficient computer skills, especially Microsoft Office applications
  6. Ability to use recommended desktop planning tools and processes
  7. Excellent verbal and written communication skills
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 (some may vary based on role, location or hours):

  • 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

EEO is the Law

U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors. Applicants can learn more about the company’s status as an equal opportunity employer by viewing the federal KNOW YOUR RIGHTS EEO poster.

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 certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program .

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