Job Description

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, were 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 Description

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

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

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

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

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

- Functions 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.).

- Analyzes 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.

- Produces reports and executes 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

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 companys status as an equal opportunity employer by viewing the federal EEO is the Law poster.

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.