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Central Supervision Principal at U.S. Bank - ApplyBlast

Central Supervision Principal

U.S. Bank

3 months ago

3.3 on Glassdoor

Saint Paul, MN

Onsite

Full Time

Senior

0 applicants

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About this role

This role provides direct sales supervision of securities transactions and new accounts while ensuring strict adherence to internal compliance policies and external regulations. The incumbent acts as a primary compliance consultant for assigned locations, analyzing trade activity for suitability and reviewing transactions for approval. Key duties include enforcing anti-money laundering and Bank Secrecy Act requirements, training staff, and identifying trends in advisor activity.

Responsibilities

Supervise securities transactions and new account openings
Ensure adherence to FINRA, MSRB, and OCC regulations
Analyze and approve trade activities for compliance
Act as primary compliance consultant for assigned units
Identify trends and patterns in advisor activity

Skills

Qualifications

Bachelor's degreeFINRA Series 7 LicenseFINRA Series 63 LicenseFINRA Series 65 LicenseFINRA Series 66 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.