Supervision Principal

U.S. Bank • Brea, CA

1d • $98,345 - $115,700 • Hybrid

About The Position

As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership - including Regional Managers, Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures. In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ examination process an conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed. You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.

Requirements

• Bachelor's degree, or equivalent work experience
• Five or years of experience in the financial services industry
• Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses

Nice To Haves

• Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
• Strong critical thinking and problem solving skills with minimal oversight
• Well developed analytical and sound decision making capabilities
• Excellent communication skills, both verbal and written, with a collaborative approach
• Proficiency in Microsoft Office and other commonly used business software applications

Responsibilities

• Execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews.
• Lead the annual Office of Supervisory Jurisdiction (OSJ examination process.
• Conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed.
• Partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives.
• Ensure timely completion of continuing education requirements.
• Act as a liaison between the region and internal departments to ensure consistent application of regulatory and firm standards.
• Support special projects.
• Uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.

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