Central Supervision Principal

U.S. Bank

. Provide direct sales supervision of securities transactions and new accounts .

Posted 9/21/2026full-timeUnited StatesLead💰 $71,400 - $84,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive knowledge of securities products and compliance regulations, with a strong ability to analyze transactions and ensure adherence to FINRA, MSRB, and OCC standards. Proven experience in direct sales supervision and client service within the broker/dealer industry.

Highest-signal resume keywords

FINRA Series 7FINRA Series 63FINRA Series 65FINRA Series 66FINRA Series 24

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Securities TransactionsCompliance PoliciesTransaction AnalysisAccount ReviewData Interpretation

Soft Skills

Interpersonal SkillsClient ServiceTeamworkVerbal CommunicationWritten Communication

Tools & Technologies

Microsoft OfficeDesktop Planning Tools

Certifications & Qualifications

FINRA Series 4FINRA Series 53State Insurance Licenses

Industry Keywords

Broker/Dealer IndustryFINRAMSRBOCCCompliance Regulations

About the role

Key responsibilities & impact

Provide direct sales supervision of securities transactions and new accounts
Ensure internal compliance policies, procedures and processes comply with applicable laws and regulations
Work closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC and internal compliance policies
Act as the primary compliance consultant/resource for assigned locations, business units or products regarding trade-related questions, consulting and training
Enforce compliance policies and procedures and escalate concerns when appropriate
Analyze, review and approve transactions, accounts and trades
Perform pre-approvals on transactions
Analyze advisor activity for trends and patterns

Requirements

What you’ll need

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
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
Ability to work from a U.S. Bank location three (3) or more days per week
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies

Benefits

Comp & perks

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 law
Incentive and recognition programs
Equity stock purchase
401(k) contribution and pension