Central Supervision Principal
About The Position
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 USBA 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.
Requirements
- 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.
Nice To Haves
- 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
Responsibilities
- 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 USBA 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.
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
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What This Job Offers
Job Type
Full-time
Career Level
Senior
