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Central Supervision Principal Complex Product Lead job in Honolulu at U.S. Bank

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Central Supervision Principal Complex Product Lead at U.S. Bank

Central Supervision Principal Complex Product Lead

U.S. Bank Honolulu, HI (On Site) Full-Time
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 Description**

**_This is a remote role, with preference to candidates located on the West Coast or Mountain Region (Pacific time or Mountain Time zone)._**

1. Works closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance polices.

2. Acts as the primary compliance consultant/resource for assigned location, business unit(s), or product(s) with respect to trade related questions, consulting, and training.

3. Ensures trade activity within assigned locations, business unit(s), are suitable and in compliance with various policies and regulations.

4. Enforces compliance policies and procedures and escalates concerns when it is appropriate to do so.

5. Analyze, review, and approve transactions, accounts, and trades.

6. Perform pre-approvals on transactions.

7. Performs ongoing special projects assigned by Sales Supervision Manager.

8. Analyze advisor activity for trends and patterns.

9. Actively ensures compliance with 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 customer

Basic Qualifications:

Requires a Bachelor degree or equivalent work experience.

5 years or more supervisory principal experience.

Must possess FINRA Series 7, 65/66, 24, and state insurance licenses or the ability to secure FINRA Series 4, 53 or 9/10 (or combination of acceptable/interchangeable licenses based on FINRA waiver rules or grandfather provisions within 180 days of employment)

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 ([ Link removed ] - Click here to apply to Central Supervision Principal Complex Product Lead .

**Learn how** the way we work at U.S. Bank ([ Link removed ] - Click here to apply to Central Supervision Principal Complex Product Lead drives meaningful relationships with our customers and collaboration across the company.

**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 careers.usbank.com ([ Link removed ] - Click here to apply to Central Supervision Principal Complex Product Lead .

**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 (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/eeopost.pdf) 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 ([ Link removed ] - Click here to apply to Central Supervision Principal Complex Product Lead .

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, US Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401k contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $76,840.00 - $90,400.00 - $99,440.00

Due to legal requirements, U.S. Bank requires that the successful candidate hired for some positions be fully-vaccinated for COVID-19, absent being granted an accommodation due to a medical condition, pregnancy, or sincerely held religious belief or other legally required exemption. For these positions, as part of the conditional offer of employment, the successful candidate will be asked to provide proof of vaccination or approval for an accommodation or exemption upon hire.

U.S. Bank will consider qualified applicants with criminal histories in a manner consistent with the San Francisco Fair Chance Ordinance.

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.

Recommended Skills

  • Bank Secrecy Act
  • Financial Industry Regulatory Authorities
  • Sales
  • Series 7 General Securities Representative License (Stockbroker)
  • Consulting
  • Regulatory Compliance
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