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Senior Securities Compliance & Supervision Lead
Job in
Brea, Orange County, California, 92631, USA
Listed on 2026-08-13
Listing for:
U.S. Bank
Full Time
position Listed on 2026-08-13
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
U.S. Bank seeks an experienced compliance supervisor to oversee direct sales supervision of securities transactions and new accounts. The role ensures adherence to FINRA, MSRB, OCC rules and internal policies, acting as a primary compliance resource for trade-related questions and training.
The position requires strong analytical skills, excellent communication, and the ability to manage multiple projects while sustaining high standards of client service within a results-driven environment.
#J-18808-LjbffrPosition Requirements
10+ Years
work experience
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