Securities Compliance & Supervision Lead
U.S. Bank
U.S. Bank in Glendale/Brea seeks a Central Supervision Principal to supervise securities transactions and new accounts, ensuring compliance with FINRA, MSRB, OCC and internal policies. The role partners with Regional Manager and Field Supervision Principal to uphold standards and guide trade-related inquiries. The position requires a bachelor’s degree or 5+ years in the broker/dealer industry, FINRA licenses, and strong analytical, communication, and teamwork skills. #J-18808-Ljbffr U.S. Bank
Vacancy posted 1 day ago
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