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Central Supervision Principal
4 months ago
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.
The Central Supervision Principal - Complex Product Lead is primarily tasked with pre-approval reviews on transactions/proposals that fall within pre-determined guidelines (may be driven by product type or scenario) that may potentially require a more in-depth review. They will work closely with the Market Leaders and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance policies; acting as the primary compliance consultant/resource for the California Region within Wealth Management with respect to trade related questions, consulting, and training.
Primary responsibilities:
- Analysis, review, and approval of all Investment Advisory accounts at account opening. Will also provide additional trade analysis/review support as needed to other traditional Central Principal teams.
- Ensures trade activity are suitable and in compliance with various policies and regulations.
- Participates in special projects and training in support of firm's policies, procedures, and needs (ex. Audits, new product introductions, critical analysis of current trends and patterns).
- Constructs several reports that assist in communicating daily trade volumes, CP team productivity, and other reports specific to a business line (Investment Advisory/Pre-Approvals).
- Enforce compliance policies and procedures and escalates concerns when it is appropriate to do so.
- 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.
Basic Qualifications:
- Bachelor degree or equivalent work experience.
- 5 years or more supervisory principal experience. FINRA Series 7, 65/66, 24, and state insurance licenses or the ability to secure FINRA Series 4, 53 or 9/10 (or combination of acceptable/interchangeable licenses based on FINRA waiver rules or grandfather provisions within 180 days of employment)
Preferred Qualifications:
- Good decision-making ability and attention to detail.
- Conflict resolution skills.
- Strong ability to partner with others.
- Strong interpersonal, verbal, and written communication skills.
- Thorough knowledge of securities products.
- Ability to manage multiple projects and excellent time management 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.
**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.
Job postings typically remain open for approximately 20 days of the posting date listed above, however the job posting may be closed earlier should it be determined the position is no longer required due to business need. Job postings in areas with a high volume of applicants, such as customer service, contact center, and Financial Crimes investigations, remain open for approximately 5 days of
