Supervision Principal | US Bank Cincinnati, OH, US

Job Details:
Responsible for performing delegated supervisory functions for the assigned region. Provide sales supervision support to Region Sales Manager (RM), Financial Advisor (FA), and Registered Client Associates (RCAs) on a delegated basis. Works closely with regional partners, RM, Region Administration Manager (RAM) and Central Principal (CP) on the assigned region's adherence to FINRA, SEC, MSRB, OCC, and internal compliance policies. Performs delegated supervisory functions including but not limited to the Supervision Delegation Memorandum (includes reviewing correspondence, monthly client calls, transaction reviews, monthly exception reports, etc.). Prepares for and oversees the Office of Supervisory Jurisdiction's (OSJ) annual examination process. Executes Annual Supervisory Reviews (ASeRs) on all registered representatives per firm policies. Works in partnership with the RM and RAM to identify supervision and compliance training needs of the sales field to include FAs and RCAs. Monitors for completion of firm and regulator continuing education requirements such as Firm Element, regulatory CE, etc. Acts as a liaison between the assigned region and other departments on supervision related matters. Performs ongoing special projects as assigned by the Supervision Manager (SM). Actively ensures compliance with the U.S. Bank Code of Ethics and all Anti-Money Laundering, Bank Secrecy Act, information security and suspicious activity reporting requirements, policies and procedures. Actively participates in any required corporate and business line training in these areas. Follows account opening procedures and understands and follows internal suspicious activity referral requirements and processes, as required for this position. Actively works with customers to understand each customer's normal account activity, as appropriate for this position. Analyzes advisor activity for trends and patterns.
Your Career is Here.
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
- Bachelor's degree, or equivalent work experience
- Five or more years of experience in the broker/dealer industry
- FINRA Series 7, 24 (or 9/10), 65, 53 and state insurance license
Leadership Skills
- Judgment and Decision-Making
- Drive and Commitment
- Working in partnership
- Leverages resources
- Contributes to a positive business culture..
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