Compliance Officer
U.S. Bank
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. #J-18808-Ljbffr
Vacancy posted 1 day ago
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