Supervision Principal

U.S. Bank•Saint Paul, MN

1d•Onsite

About The Position

Works under the direction of the Supervision Systems and Procedures Manager. Serves as a subject matter expert and collaborates with a range of business partners (e.g., Compliance, Risk Management, Sales Management, Operations, Audit). Drafts system requirements and performs system validations, as assigned. Partners with Central Principal Supervisors and Supervision Managers to develop training content. Develops and evaluates supervisory processes to strengthen risk mitigation and improve efficiency. Supports the development and ongoing review of written supervisory and desktop procedures. Assists with requests related to internal and external regulatory examinations and audits. Contributes to the creation and quality assurance of supervisory reports. Able to provide backup support for the Central Principal role, as needed.

Requirements

Bachelor’s degree or equivalent work experience
Five or more years of experience in the financial services industry
Three to five years of sales supervision experience
FINRA Series 7, 24, 53, 63, and 65/66 licenses, and a state insurance license

Nice To Haves

Demonstrated ability to manage multiple tasks/projects and deadlines simultaneously
Demonstrated ability to resolve complex problems with minimal guidance
Strong analytical and decision-making skills
Excellent interpersonal, verbal, and written communication skills
Proficient computer skills, including Microsoft Office and other applicable software applications
Experience with supervisory applications (e.g., FIS Supervision Compliance Manager)

Responsibilities

Drafts system requirements and performs system validations, as assigned.
Partners with Central Principal Supervisors and Supervision Managers to develop training content.
Develops and evaluates supervisory processes to strengthen risk mitigation and improve efficiency.
Supports the development and ongoing review of written supervisory and desktop procedures.
Assists with requests related to internal and external regulatory examinations and audits.
Contributes to the creation and quality assurance of supervisory reports.
Able to provide backup support for the Central Principal role, as needed.

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
Incentive and recognition programs
Equity stock purchase
Pension