Supervision Principal

U.S. Bank

. Manage delegated sales supervision for the Office of Supervisory Jurisdiction (OSJ) Market Leader, Wealth Management Advisor, and Wealth Management Associate .

Posted 11/5/2026full-timeUnited StatesLead💰 $86,360 - $101,600 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates extensive experience in sales supervision within the financial services industry, ensuring compliance with regulatory standards and internal policies. Proficient in training and coaching staff while managing adherence to ethical guidelines and risk management protocols.

Highest-signal resume keywords

Sales Supervision ExperienceFINRA Series 7, 24, 53, 63, 65/66 LicensesCompliance Training DeliverySecurities Principal ExperienceMicrosoft Office Suite Proficiency

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Sales SupervisionCompliance MonitoringRisk ManagementAccount-Opening ProceduresSupervisory ReviewsTraining and CoachingSuspicious Activity ReportingRegulatory ComplianceContinuing Education ManagementCorrespondence Review

Soft Skills

CommunicationLeadershipCollaborationProblem-SolvingInterpersonal Skills

Tools & Technologies

WealthStationProtegentSupervisory SystemsMicrosoft Office SuiteEmail Applications

Certifications & Qualifications

FINRA Series 7 LicenseFINRA Series 24 LicenseFINRA Series 53 LicenseFINRA Series 63 LicenseFINRA Series 65 LicenseState Insurance License

Industry Keywords

Financial ServicesCompliance PoliciesU.S. Bank Code of EthicsAnti-Money LaunderingBank Secrecy ActWritten Supervisory ProceduresSecurities RegulationsMarket LeadershipRisk Management PoliciesClient Activity Monitoring

About the role

Key responsibilities & impact

Manage delegated sales supervision for the Office of Supervisory Jurisdiction (OSJ) Market Leader, Wealth Management Advisor, and Wealth Management Associate
Secure adherence to the Firm’s Written Supervisory Procedures (WSPs)
Coach and train associated persons assigned to the OSJ
Partner with Market Leaders, the Region Administration Leader, and Central Principal on adherence to FINRA, SEC, MSRB, OCC, and internal compliance policies
Manage first-line supervision by monitoring associated persons’ compliance with firm and regulatory risk-management policies and regulations
Oversee the U.S. Bank Code of Ethics, Anti-Money Laundering, Bank Secrecy Act, information security, and suspicious activity reporting requirements
Follow account-opening procedures and internal suspicious-activity referral processes
Work with customers to understand normal account activity, as appropriate
Perform delegated supervisory functions including reviewing correspondence, monthly client calls, and transactions
Prepare for and oversee the OSJ annual examination process
Execute Annual Supervisory Reviews (ASeRs) for registered representatives and present corrective actions
Identify needs and deliver supervision and compliance training
Monitor completion of firm and regulator continuing-education requirements
Act as liaison between the assigned market and other departments on supervision matters
Participate in committees or special projects to influence departmental policies and procedures

Requirements

What you’ll need

Bachelor's degree, or equivalent work experience
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, and State Insurance license
Typically requires three years or more of securities principal experience
FINRA Series 7, 24 (or 9/10), and 63 or 66
Possess or have the ability to secure Series 53 and 65 if required and state insurance license
Excellent knowledge of Microsoft Office suite and e-mail applications
Previous experience with supervisory systems such as WealthStation, Protegent and other applicable software applications is preferred
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

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