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Securities Compliance & Trade Oversight Lead
Job in
Glendale, Los Angeles County, California, 91222, USA
Listed on 2026-08-31
Listing for:
Us Bank
Full Time
position Listed on 2026-08-31
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
U.S. Bank is seeking a compliance-oriented supervisor to oversee securities transactions and new accounts. You will work with regional leadership to ensure adherence to FINRA, MSRB, OCC, and internal policies, escalating concerns as needed.
The role requires reviewing trades, pre-approvals, and monitoring advisor activity while ensuring strict regulatory compliance and accurate reporting.
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