Central Supervision Principal
$75,905–$89,300 year
On-siteBrea, California, United States or Glendale, California, United States
Job Summary
Provide direct sales supervision of securities transactions and new accounts, ensuring internal compliance policies align with FINRA, MSRB, OCC, and company regulations. Analyze, review, and approve transactions and accounts while performing pre-approvals, and consult on trade-related questions for assigned locations or business units. Monitor advisor activity for trends and patterns, enforcing policies and escalating concerns as appropriate. Requires a Bachelor's degree, five years of broker/dealer experience, and Series 7, 63, 65, or 66 licenses. Work three or more days per week at a U.S. Bank location.
Required Qualifications
- Bachelor's degree, or equivalent work experience
- Five or more years of experience in the broker/dealer industry
- FINRA Series 7, 63, 65 or 66, 24, 53, 4 and state insurance licenses
- Ability to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies
Desired Qualifications
- Thorough knowledge of securities products
- Ability to identify and resolve exceptions and to interpret data
- Ability to handle multiple projects and deadlines simultaneously
- Excellent interpersonal, client service and teamwork skills
- Proficient computer skills, especially Microsoft Office applications
- Ability to use recommended desktop planning tools and processes
- Excellent verbal and written communication skills
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