At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.

Job Description

As the Central Supervision Principal Supervision you will:

- Be responsible for coordinating staff by monitoring work volumes and efficiently delegating work-loads and coordinate coverage with divisional Central Principal Supervisor counterparts to meet service level agreements.

- Supervise and train divisional Central Principal Team to monitor for adherence to internal compliance policies, procedures, processes and appropriate laws and regulations.

- Partner with Field Supervision to oversee the regional supervisory functions delegated to the divisional Central Principal Group.

- Communicate and provide ongoing individual guidance to Central Principals and provides support on account and trade specific issues.

- Work closely with the Supervision Manager and Central Principal Group to oversee activities and monitor for adherence to FINRA, MSRB, OCC, and internal compliance policies. You will evaluate and analyze potential violations to determine whether or not to escalate to the Region Manager, Field Supervision Principal or Complaints and Investigations Team as appropriate.

- Function as subject matter expert to address escalated issues with a range of business partners (examples include; Compliance, Risk Management, Sales Management, Operations, Senior Management, Audit, etc.).

- Analyze Advisor activity at a divisional level to identify potential trends and patterns that should be further discussed with the Supervision Manager and or Central Principal Group.

- Produce reports and execute projects and other tasks assigned by Supervision Manager.

Basic Qualifications

• 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

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

If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.

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:

• 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

Review our full benefits available by employment status here.

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.

E-Verify

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.

Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Posting may be closed earlier due to high volume of applicants.