U.S. Bank Supervision Principal 2 - Multiple Midwest Locations in Ames, Iowa
At U.S. Bank, we're passionate about helping customers and the communities where we live and work. The fifth-largest bank in the United States, we’re one of the country's most respected, innovative and successful financial institutions. U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.
Job DescriptionManages delegated sales supervision for the Office of Supervisiory Jurisdiction (OSJ) Manager (RM), Wealth Management Advisor (Advisor), and Wealth Management Associate (Associate). Responsibilities include duties aimed at securing adherence to the Firm’s Written Supervisiory Procedures (WSPs), including coaching and training of the associated persons assigned to their OSJ.
ESSENTIAL FUNCTIONS: Works in partnership with the other Regional Leaders, Region Manager (RM), Region Administration Manager (RAM) and Central Principal (CP), on the assigned region’s adherence to FINRA, SEC, MSRB, OCC, and internal compliance policies.
Manages first line supervision by monitoring associated persons’ compliance with firm and regulatory risk management policies and regulations. 1. Provides oversight of 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. 2. Partners with the Regional Manager to assure adherence to FINRA, SEC, MSRB, OCC and internal compliance policies.
Performs delegated supervisory functions including but not limited to reviewing correspondence, monthly client calls, transaction reviews. 1. Prepares for and oversees the Office of Supervisory Jurisdiction’s (OSJ) annual examination process. 2. Executes Annual Supervisory Reviews (ASeRs) on all registered representatives per firm policies. Completes ASeR template and presents actions necessary to rectify all identified issues. 3. Identifies needs and delivers supervision and compliance training to their associated persons’ either in a targeted or regional basis. Monitors for completion of firm and regulator continuing education requirements such as Firm Element, regulatory CE, etc. 4. Acts as a liaison between the assigned region and other departments on supervision related matters.
Provides input to influence departmental policy and procedures through participation in committees or on special projects as assigned by the Supervision Manager (SM).
Basic Qualifications - Bachelor's degree, or equivalent work experience - Five or more years of experience in financial services industry - NASD Series 7, 24, 53, 63 and 65/66 licenses
Preferred Skills/Experience - Well-developed ability to manage multiple tasks/projects and deadlines simultaneously - Well-developed ability to resolve complex problems with minimal guidance - Strong analytical and decision-making skills - Excellent interpersonal, verbal and written communication skills - Proficient computer skills, especially Microsoft Office and other applicable software applications
Benefits: Take care of yourself and your family with U.S. Bank employee benefits. We know that healthy employees are happy employees, and we believe that work/life balance should be easy to achieve. That's why we share the cost of benefits and offer a variety of programs, resources and support you need to bring your full self to work and stay present and committed to the people who matter most - your family.
Learn all about U.S. Bank employee benefits, including tuition reimbursement, retirement plans and more, by visiting usbank.com/careers.
EEO is the Law Applicants can learn more about the company’s status as an equal opportunity employer by viewing the federal EEO is the Law poster.
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U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.
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