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Securities Compliance & Trade Oversight Leader
Job in
Brea, Orange County, California, 92631, USA
Listed on 2026-08-20
Listing for:
Us Bank
Full Time
position Listed on 2026-08-20
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
U.S. Bank is seeking a role that provides direct sales supervision of securities transactions and new accounts. The position ensures adherence to FINRA/ MSRB and OCC rules, and serves as the primary compliance consultant for relevant units, assessing trades and pre-approving transactions.
The role requires 5+ years in the broker/dealer industry, FINRA licenses, and a strong knowledge of securities products, with emphasis on data interpretation and client service.
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