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Supervision Principal Ohio/Indiana at U.S. Bank - ApplyBlast

Supervision Principal Ohio/Indiana

U.S. Bank

3 days ago

3.3 on Glassdoor

Columbus, Ohio, United States

Hybrid

Full Time

Manager

0 applicants

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About this role

The Supervision Principal oversees delegated sales supervision for the Office of Supervisory Jurisdiction Market Leader, Wealth Management Advisors, and Associates. This role ensures adherence to firm policies and regulatory requirements, including FINRA, SEC, MSRB, and OCC guidelines. The position involves monitoring compliance, conducting supervisory reviews, and providing training to associated persons.

Responsibilities

Manage delegated sales supervision for OSJ Market Leader and associated persons
Monitor compliance with firm and regulatory risk management policies and regulations
Perform delegated supervisory functions including transaction reviews and annual examinations

Skills

Qualifications

FINRA Series 7FINRA Series 24FINRA Series 53FINRA Series 63FINRA Series 65/66

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.