Supervision Principal

Overview

At U.S. Bank, we’re on a journey to do our best. We’re committed to helping customers and businesses make better financial decisions and to supporting communities to grow and succeed. A career with U.S. Bank offers opportunities to learn and grow from Day One.

Provides direct sales supervision of securities transactions and new accounts. Ensures internal compliance policies, procedures and processes comply with applicable laws and regulations. Works with the Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal 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.

Enforces compliance policies and procedures and escalates concerns when appropriate. Analyzes, reviews, and approves transactions, accounts, and trades. Performs pre-approvals on transactions. Analyzes advisor activity for trends and patterns.

• Bachelors 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

• Thorough knowledge of securities products
• Ability to identify and resolve exceptions and 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

This role requires working from a U.S. Bank location three (3) or more days per week.

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.

Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. Our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Benefits include:

• Healthcare (medical, dental, vision)
• Basic term and optional term life insurance
• Short-term and long-term disability
• Pregnancy disability and parental leave
• 401(k) and employer-funded retirement plan
• Paid vacation (from two to five weeks depending on salary grade and tenure)
• Up to 11 paid holiday opportunities
• Adoption assistance
• Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

Review our full benefits available by employment status here.

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.

E-Verify: 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.

The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase, 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $75,905.00 - $89,300.00

U.S. Bank will consider qualified applicants with arrest or conviction records for employment. Background checks are conducted consistent with applicable local laws, including relevant fair chance ordinances and FDIA requirements. Some positions may also be subject to FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and other federal guidelines. Applicants must comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Posting may be closed earlier due to high volume of applicants.