Supervision Principal

at  US Bank National Association

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.

JOB DESCRIPTION

The Supervision Principal’s primary responsibilities are to perform delegated supervisory functions including, but not limited to, the Supervision Delegation Memorandum (reviewing correspondence, monthly client calls, transaction reviews, etc.). In addition, they will prepare and oversee the Office of Supervisory Jurisdiction’s (OSJ) annual examination process and execute the Annual Supervisory Reviews (ASeRs) on all registered representatives per firm policies, and addressing any issues.
In collaboration with regional partners (Market Leader, Market Administration Manager, and Central Principal, they will ensure compliance with FINRA, SEC, MSRB, OCC, and all internal policies, as well as identifying and addressing the supervision and compliance training needs of the sales field, ensuring completion of regulatory education requirements. The Supervision Principal will act as a liaison between the assigned region and other departments on supervision related matters, handling special projects and ensuring compliance with the U.S. Bank Code of Ethics, Anti-Money Laundering, and other regulatory requirements.

Basic Qualifications

• Bachelor’s degree, or equivalent work experience
• Five or more years of experience in financial services industry
• NASD Series 7, 24, 53, 63 and 65/66 licenses
• State Insurance Licenses (Life&Health)

Preferred Skills/Experience

• Well-developed ability to manage multiple tasks/projects and deadlines simultaneously
• Proficient in resolving complex problems with minimal guidance
• Excellent analytical and decision-making skills
• Superior interpersonal, verbal and written communication skills with the ability to articulate messages in a manner that fosters a collaborative environment
• Skilled in using Microsoft Office and other applicable software applications

If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.

• 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 la