Supervision Principal - Complex Product Lead

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* We only use cookies that are strictly necessary to allow operation of our website.*#Central Supervision Principal - Complex Product Lead page is loaded## Central Supervision Principal - Complex Product Lead Apply locations:
Brea, CA:
Glendale, CA:
Los Angeles, CAtime type:
Full time posted on:
Posted Yesterday time left to apply:
End Date:
June 26, 2026 (22 days left to apply) job requisition :
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
** The Central Supervision Principal - Complex Product Lead is primarily tasked with pre-approval reviews on transactions/proposals that fall within pre-determined guidelines (may be driven by product type or scenario) that may potentially require a more in-depth review. They will work closely with the Market Leaders and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance policies;

acting as the primary compliance consultant/resource for the California Region within Wealth Management with respect to trade related questions, consulting, and training.
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* Primary responsibilities:

*** Analysis, review, and approval of all Investment Advisory accounts at account opening. Will also provide additional trade analysis/review support as needed to other traditional Central Principal teams.
* Ensures trade activity are suitable and in compliance with various policies and regulations.
* Participates in special projects and training in support of firm's policies, procedures, and needs (ex. Audits, new product introductions, critical analysis of current trends and patterns).
* Constructs several reports that assist in communicating daily trade volumes, CP team productivity, and other reports specific to a business line (Investment Advisory/Pre-Approvals).
* Enforce compliance policies and procedures and escalates concerns when it is appropriate to do so.
* 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.
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* Basic Qualifications:

*** Bachelor degree or equivalent work experience.
* 5 years or more supervisory principal experience. 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)
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* Preferred Qualifications:

*** Good decision-making ability and attention to detail.
* Conflict resolution skills.
* Strong ability to partner with others.
* Strong interpersonal, verbal, and written communication skills.
* Thorough knowledge of securities products.
* Ability to manage multiple projects and excellent time management skills.
** Location Expectations:
** The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days

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…