U.S. Bank Supervision Principal - San Diego, CA in San Diego, California
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.
Works closely with regional partners (Region Manager -RM, Region Administration Manager -RAM and Central Principal- CP) on the assigned region’s adherence to FINRA, SEC, MSRB, OCC, and internal compliance policies.
Performs delegated supervisory functions including but not limited to the Supervision Delegation Memorandum (includes reviewing correspondence, monthly client calls, transaction reviews, etc.).
Prepares for and oversees the Office of Supervisory Jurisdiction’s (OSJ) annual examination process.
Executes Annual Supervisory Reviews (ASeRs) on all registered representatives per firm policies. Completes ASeR template and presents actions necessary to rectify all identified issues.
Works in partnership with the RM and RAM to identify supervision and compliance training needs of the sales field to include FAs and RCAs.
Monitors for completion of firm and regulator continuing education requirements such as Firm Element, regulatory CE, etc.
Acts as a liaison between the assigned region and other departments on supervision related matters.
Performs ongoing special projects as assigned by the Supervision Manager (SM).
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
Five or more years of experience in financial services industry
NASD Series 7, 24, 53, 63 and 65/66 licenses
Well-developed ability to manage multiple tasks/projects and deadlines simultaneously
Well-developed ability to resolve complex problems with minimal guidance
Strong analytical and decision-making skills
Excellent interpersonal, verbal and written communication skills
Proficient computer skills, especially Microsoft Office and other applicable software applications
If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants (https://careers.usbank.com/global/en/disability-accommodations-for-applicants) .
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 careers.usbank.com .
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://careers.usbank.com/verification-of-eligibility-for-employment) .
Due to legal requirements, U.S. Bank requires that the successful candidate hired for some positions be fully-vaccinated for COVID-19, absent being granted an accommodation due to a medical condition, pregnancy, or sincerely held religious belief or other legally required exemption. For these positions, as part of the conditional offer of employment, the successful candidate will be asked to provide proof of vaccination or approval for an accommodation or exemption upon hire.
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.