Central Supervision Principal Supervisor - California

U.S. Bank • Brea, CA

8d

About The Position

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description As the Central Supervision Principal Supervision you will: - Be responsible for coordinating staff by monitoring work volumes and efficiently delegating work-loads and coordinate coverage with divisional Central Principal Supervisor counterparts to meet service level agreements. - Supervise and train divisional Central Principal Team to monitor for adherence to internal compliance policies, procedures, processes and appropriate laws and regulations. - Partner with Field Supervision to oversee the regional supervisory functions delegated to the divisional Central Principal Group. - Communicate and provide ongoing individual guidance to Central Principals and provides support on account and trade specific issues. - Work closely with the Supervision Manager and Central Principal Group to oversee activities and monitor for adherence to FINRA, MSRB, OCC, and internal compliance policies. You will evaluate and analyze potential violations to determine whether or not to escalate to the Region Manager, Field Supervision Principal or Complaints and Investigations Team as appropriate. - Function as subject matter expert to address escalated issues with a range of business partners (examples include; Compliance, Risk Management, Sales Management, Operations, Senior Management, Audit, etc.). - Analyze Advisor activity at a divisional level to identify potential trends and patterns that should be further discussed with the Supervision Manager and or Central Principal Group. - Produce reports and execute projects and other tasks assigned by Supervision Manager.

Requirements

• Bachelor's degree, or equivalent work experience
• Five or more years of experience in financial services industry
• Three to five years of sales supervision experience
• FINRA Series 7, 24, 53, 63 and 65/66 licenses, and State Insurance license

Nice To Haves

• 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

Responsibilities

• Be responsible for coordinating staff by monitoring work volumes and efficiently delegating work-loads and coordinate coverage with divisional Central Principal Supervisor counterparts to meet service level agreements.
• Supervise and train divisional Central Principal Team to monitor for adherence to internal compliance policies, procedures, processes and appropriate laws and regulations.
• Partner with Field Supervision to oversee the regional supervisory functions delegated to the divisional Central Principal Group.
• Communicate and provide ongoing individual guidance to Central Principals and provides support on account and trade specific issues.
• Work closely with the Supervision Manager and Central Principal Group to oversee activities and monitor for adherence to FINRA, MSRB, OCC, and internal compliance policies. You will evaluate and analyze potential violations to determine whether or not to escalate to the Region Manager, Field Supervision Principal or Complaints and Investigations Team as appropriate.
• Function as subject matter expert to address escalated issues with a range of business partners (examples include; Compliance, Risk Management, Sales Management, Operations, Senior Management, Audit, etc.).
• Analyze Advisor activity at a divisional level to identify potential trends and patterns that should be further discussed with the Supervision Manager and or Central Principal Group.
• Produce reports and execute projects and other tasks assigned by Supervision Manager.

Benefits

• 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

What This Job Offers

• Job Type: Full-time
• Career Level: Principal