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 an 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
- Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
- Strong critical thinking and problem solving skills with minimal oversight
- Well developed analytical and sound decision making capabilities
- Excellent communication skills, both verbal and written, with a collaborative approach
- Proficiency in Microsoft Office and other commonly used business software applications
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.
