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Central Supervision Principal - Complex Product Lead at U.S. Bank - ApplyBlast

Central Supervision Principal - Complex Product Lead

U.S. Bank

5 months ago

3.3 on Glassdoor

Brea, CA

Hybrid

Full Time

Senior

0 applicants

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About this role

The Central Supervision Principal - Complex Product Lead at U.S. Bank leads pre-approval reviews for transactions and proposals within the Wealth Management California Region. This role ensures adherence to FINRA and regulatory policies while serving as the primary compliance consultant for trade-related questions and training. Activities include analyzing investment advisory accounts, constructing productivity reports, and enforcing anti-money laundering and ethics standards.

Responsibilities

Conduct pre-approval reviews for complex transactions and proposals
Ensure trade activity suits client needs and meets regulatory standards
Serve as primary compliance consultant for the California Wealth Management region
Analyze Investment Advisory accounts at account opening
Construct reports to communicate trade volumes and team productivity

Skills

Qualifications

Bachelor DegreeFINRA Series 7FINRA Series 65FINRA Series 24State Insurance License

About U.S. Bank

usbank.com

Headquarters

Minneapolis, Minnesota, United States

Company Size

10001+ employees

Founded

1863

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Experience personalized banking services for your unique needs with U.S. Bank - Checking, credit cards, home loans & convenient online banking. Member FDIC.