U.S. Bank Central Supervision Principal - St. Paul, MN in Saint Paul, Minnesota
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.
Provide direct sales supervision of securities transactions and new accounts. Ensure 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.
-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.
Bachelor's degree, or equivalent work experience
Two or more years of experience in the broker/dealer industry
FINRA Series 7, 63, 65 or 66, 24, 53, 4 and state insurance licenses or the ability to acquire.
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
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 (https://www.usbank.com/careers/index.html) .
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 (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/eeopost.pdf) poster.
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 (https://www.usbank.com/careers/verification-of-eligibility-for-employment.html) .
Our 74,000 employees work across departments to help our millions of retail, business, wealth management, payment, commercial and corporate, and investment services customers across the country and around the world turn their dreams into reality. Our employees are empowered to create change and drive our future, and we pride ourselves on diligently and ethically upholding U.S. Bank’s best-in-class financial record and legacy of more than 150 years in banking. Most importantly, we put people first, cultivating and treasuring meaningful relationships with the customers we serve, the colleagues we support and the communities where we live and work.