Central Supervision Principal
US Bank•Saint Paul, MN
402d•$71,400 - $84,000
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About The Position
The Central Supervision Principal at U.S. Bank is responsible for providing direct sales supervision of securities transactions and new accounts. This role ensures compliance with internal policies and regulatory requirements, acting as a primary compliance consultant for assigned business units. The position involves analyzing transactions, accounts, and advisor activities to maintain adherence to FINRA and other regulatory standards.
