U. S. Bank
Finance
SupervisionPrincipal
“Supervision Principal at U. S. Bank. Skills: Sales supervision, Regulatory adherence, Risk management. Manage delegated sales supervision. Secure adherence to WSPs”
Industry & Context.
What They're Looking For.
Must Have
Bachelor's degree, Five or more years of experience in financial services industry, Three to five years of sales supervision experience, FINRA Series 7, 24, 53, 63 and 65/66 licenses, State Insurance license
Nice to Have
Three years or more of securities principal experience, Progressive responsibilities in leadership, FINRA Series 7, 24, (or 9/10), and 63 or 66, Possess or have the ability to secure 53, 65 if required, State insurance license, Excellent knowledge of Microsoft Office suite, Excellent knowledge of e-mail applications, Previous experience with supervisory systems such as WealthStation, Previous experience with Protegent, Previous experience with other applicable software applications
What You'll Do.
Manage delegated sales supervision
Secure adherence to WSPs
Coach and train associated persons
Monitor associated persons' compliance
Provide oversight of Code of Ethics
Provide oversight of AML
Provide oversight of BSA
Provide oversight of information security
Provide oversight of suspicious activity reporting
Follow account opening procedures
Refer suspicious activity
Understand customer account activity
Review correspondence
Oversee OSJ annual examination
Execute Annual Supervisory Reviews
Present actions to rectify issues
Deliver supervision training
Deliver compliance training
Monitor continuing education completion
Act as liaison on supervision matters
Influence departmental policy
Participate in committees
Participate in special projects
How You'll Work.
Team & Collaboration
Works in partnership with Market Leaders; Works in partnership with MAL; Works in partnership with CP; Partners with Market Leader; Liaison between market and other departments; Participation in committees; Participation on special projects
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