More jobs:
Securities Compliance & Trade Oversight Principal
Job in
Glendale, Los Angeles County, California, 91222, USA
Listed on 2026-08-08
Listing for:
Us Bank
Full Time
position Listed on 2026-08-08
Job specializations:
-
Business
Regulatory Compliance Specialist
Job Description & How to Apply Below
U.S. Bank is seeking an experienced sales supervisor to oversee securities transactions and new accounts at our California location. You will ensure compliance with FINRA, MSRB, OCC, and internal policies while supporting the Regional Manager and Field Supervision Principal.
You will analyze and approve transactions, perform pre-approvals, monitor advisor activity for trends, and serve as the primary compliance consultant for trade-related questions, training, and escalation when needed.
#J-18808-LjbffrTo View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×