Central Supervision Principal

4 days ago


San Diego, California, United States U.S. Bank Full time

We are seeking a highly skilled and experienced Central Supervision Principal to join our team at U.S. Bank. In this role, you will be responsible for providing direct sales supervision of securities transactions and new accounts, ensuring internal compliance policies, procedures, and processes comply with appropriate laws and regulations.

As a Central Supervision Principal, you will work closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance policies. You will also act as the primary compliance consultant/resource for assigned locations, business units, or products with respect to trade-related questions, consulting, and training.

Key responsibilities will include enforcing compliance policies and procedures, escalating concerns when appropriate, analyzing, reviewing, and approving transactions, accounts, and trades, and performing pre-approvals on transactions. You will also analyze advisor activity for trends and patterns.

Requirements for this role include a Bachelor's degree or equivalent work experience, five or more years of experience in the broker/dealer industry, and FINRA Series 7, 63, 65 or 66, 24, 53, 4, and state insurance licenses. Preferred skills include thorough knowledge of securities products, ability to identify and resolve exceptions, and ability to handle multiple projects and deadlines simultaneously.

We offer a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution, and pension. The salary range for this role is $78, $92, $102,190.00, and we consider qualified applicants with arrest or conviction records for employment.

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.



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