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Supervision Principal
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$108,460 a year
Full-time
- In collaboration with regional partners (Market Leader, Market Administration Manager, and Central Principal, they will ensure compliance with FINRA, SEC, MSRB, OCC, and all internal policies, as well as identifying and addressing the supervision and compliance training needs of the sales field, ensuring completion of regulatory education requirements.
- The Supervision Principal will act as a liaison between the assigned region and other departments on supervision related matters, handling special projects and ensuring compliance with the U.S. Bank Code of Ethics, Anti-Money Laundering, and other regulatory requirements.
- 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.
- 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.
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