Supervision Principal

Job Description

As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures.

In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ) examination process and conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed. You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.

Basic Qualifications :

• Bachelor's degree, or equivalent work experience
• Five or years of experience in the financial services industry
• Active FINRA Series 7, 24, 53, 63 and 65 / 66 licenses and state insurance licenses

Preferred Skills / Experience :

Location Expectations :

This role offers a hybrid / flexible schedule, which means there's an in office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.

Benefits :

Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours) :

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.

U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program.

The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range : $98,345.00 - $115,700.00

U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and / or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.