Central Supervision Principal

U.S. Bank • Glendale, CA

2d • $75,905 - $89,300 • Hybrid

About The Position

Provides direct sales supervision of securities transactions and new accounts. Ensures internal compliance polices, 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 polices. 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 it is appropriate to do so. Analyzes, reviews, and approves transactions, accounts, and trades. Performs pre-approvals on transactions. Analyzes advisor activity for trends and patterns.

Requirements

• Bachelor's 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

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

• Provides direct sales supervision of securities transactions and new accounts.
• Ensures internal compliance polices, 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 polices.
• 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 it is appropriate to do so.
• Analyzes, reviews, and approves transactions, accounts, and trades.
• Performs pre-approvals on transactions.
• Analyzes advisor activity for trends and patterns.

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: Senior