Securities Compliance & Trade Oversight Lead
Listed on 2026-10-15
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Finance & Banking
Regulatory Compliance Specialist
U.S. Bank in Minnesota is seeking a senior compliance-focused supervisor who oversees direct sales of securities and new accounts.
You will work with the Regional Manager and Field Supervision Principal to ensure adherence to FINRA, MSRB, OCC and internal policies. The role requires strong regulatory knowledge, experience in the broker/dealer industry, and the ability to analyze transactions and advisor activity.
For the Securities Compliance & Trade Oversight Lead position at U.S. Bank, we are reviewing applications now.
Full responsibilities and requirements are described in the listing above.
Learn more about the Securities Compliance & Trade Oversight Lead role in the description above.
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