U.S. Bank Central Supervision Principal - Vancouver, WA, San Francisco, & Los Angeles, CA in Olympia, Washington
At U.S. Bank, we're passionate about helping customers and the communities where we live and work. The fifth-largest bank in the United States, we’re one of the country's most respected, innovative and successful financial institutions. 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.
Job DescriptionGENERAL SUMMARY:
Provide direct sales supervision of securities transactions and new accounts. Ensure 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.
- Ensures trade activity within assigned locations, business unit(s), are suitable and in compliance with various policies and regulations.
- Enforces compliance policies and procedures and escalates concerns when it is appropriate to do so.
- Analyze, review, and approve transactions, accounts, and trades.
- Perform pre-approvals on transactions.
- Performs ongoing special projects assigned by Sales Supervision Manager.
- Analyze advisor activity for trends and patterns.
- Review USBI email.
- 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. Actively works with customers to understand each customer's normal account activity, as appropriate for this position.
Basic Qualifications - 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 Skills/Experience - 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: Take care of yourself and your family with U.S. Bank employee benefits. We know that healthy employees are happy employees, and we believe that work/life balance should be easy to achieve. That's why we share the cost of benefits and offer a variety of programs, resources and support you need to bring your full self to work and stay present and committed to the people who matter most - your family.
Learn all about U.S. Bank employee benefits, including tuition reimbursement, retirement plans and more, by visiting usbank.com/careers.
EEO is the Law Applicants can learn more about the company’s status as an equal opportunity employer by viewing the federal EEO is the Law poster.
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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.