Job Description
At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.
**Job Description**
Provide direct sales supervision of securities transactions and new accounts. Ensure internal compliance policies, procedures and processes of the company comply with appropriate laws and regulations.
-Works closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance policies.
-Acts as the primary compliance consultant/resource ...
**Job Description**
Provide direct sales supervision of securities transactions and new accounts. Ensure internal compliance policies, procedures and processes of the company comply with appropriate laws and regulations.
-Works closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal compliance policies.
-Acts as the primary compliance consultant/resource ...