Central Supervision Principal

U.S. Bancorp
United States
Workplace: OnsiteFull timeUSD 75,905 - 89,300Function: Communications, PR & CommunityExperience: 5+ yearsEducation: bachelorsSkills: ["Interpersonal","Client service","Teamwork","Exception handling","Verbal communication","Written communication"]

Provide direct supervision of securities transactions and new accounts, ensuring compliance with applicable laws and internal policies. Serve as a primary compliance resource for assigned locations, business units, or products, enforcing procedures, escalating concerns, and performing transaction and account/trade reviews with pre-approvals. Analyze advisor activity for trends and patterns while working closely with Regional Manager and Field Supervision Principal to maintain adherence to FINRA, MSRB, OCC requirements, and internal compliance standards.

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FursaFursa
U.S. Bancorp
U.S. Bancorp
3 days ago

Central Supervision Principal

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI
Last checked: 19 hours agoStatus: Live

Job Summary

Provide direct supervision of securities transactions and new accounts, ensuring compliance with applicable laws and internal policies. Serve as a primary compliance resource for assigned locations, business units, or products, enforcing procedures, escalating concerns, and performing transaction and account/trade reviews with pre-approvals. Analyze advisor activity for trends and patterns while working closely with Regional Manager and Field Supervision Principal to maintain adherence to FINRA, MSRB, OCC requirements, and internal compliance standards.
Location: United States
Workplace: Onsite
Employment Type: Full time
Job Function: Communications, PR & Community
Seniority: Manager level

Key Responsibilities

  • •Provide direct sales supervision of securities transactions and new accounts.
  • •Ensure internal compliance policies, procedures, and processes comply with laws and regulations.
  • •Work with Regional Manager and Field Supervision Principal to maintain adherence to FINRA, MSRB, OCC, and internal compliance policies.
  • •Act as primary compliance consultant/resource for assigned location, business unit, or product with trade-related questions, consulting, and training.
  • •Analyze, review, and approve transactions, accounts, and trades, including pre-approvals; analyze advisor activity for trends and patterns.

Pay and Benefits

Salary: USD 75,905 - 89,300
Perks:Health InsuranceDentalVisionLife InsuranceDisabilityParental Leave401kPaid LeavePaid HolidaysAdoption Assistance

Key Requirements

  • •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 plus state insurance licenses.
  • •Thorough knowledge of securities products.
  • •Ability to identify and resolve exceptions and interpret data.
Experience:5+ yearsBroker-dealerSecurities
Education:Bachelor's
Skills:InterpersonalClient serviceTeamworkException handlingVerbal communicationWritten communication
Licenses:FINRA Series 7FINRA Series 63FINRA Series 65FINRA Series 66FINRA Series 24FINRA Series 53FINRA Series 4State insurance licenses
Tech Stack:Microsoft Office

Company Brief

U.S. Bancorp
U.S. Bancorp is the parent company of U.S. Bank, providing consumer, business, and institutional banking services including lending, payments, treasury management, wealth management, and merchant solutions across the United States.
Industry: Banking
Company Size: Enterprise (1,001+ employees)
Revenue: USD 1B+
Growth: Public Company
Valuation: Public Company (Market Cap in USD)
Funding: IPO / Publicly Listed
Headquarters: Minneapolis, United States
Founded: 1863
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