U.S. Bank

Distribution Supervision Manager

U.S. Bank

full-time

Posted on:

Location Type: Hybrid

Location: Harrisburg • Minnesota, North Carolina, Pennsylvania • 🇺🇸 United States

Visit company website
✨ AI Apply
Apply

Salary

💰 $98,175 - $115,500 per year

Job Level

SeniorLead

About the role

  • Collaborates with business line and enterprise Compliance and Risk teams on matters related to Client Service, as well as various compliance projects and initiatives.
  • Represents Fund Distribution as Supervisory Principal to USBI.
  • Ensures Fund Distribution Registered Representatives (RR) and Supervisory Principals (SP) employed by USBAM have proper training to understand and comply with all USBI compliance requirements.
  • Reviews Fund Distribution RRs emails and escalates as appropriate.
  • Responsible for Supervisory Principal approval of Fund Distribution marketing materials in a timely manner.
  • Actively involved in the development, implementation and distribution of all regulatory and compliance-based policies and procedures pertaining to the USBAM Sales and Service team and included Fund Distribution RRs and SPs.
  • Acts as a resource for the USBAM Asset Management Sales and Service team with respect to questions, consulting, and training on FINRA related USBI requirements.
  • Provides current regulatory information to management and maintains records to meet compliance requirements.
  • Manages requirements for Client Service technologies such as Connect and Access360 and all related software. This includes third party management requirements, access management, testing, and invoicing.
  • Manages select monthly business line controls and owns accountability as a Supervisory Principal.
  • Other duties as assigned.

Requirements

  • Bachelor's degree, or equivalent experience
  • Eight to ten years of related experience
  • Experience with SEC and FINRA regulations and direct involvement in related risk and compliance activities.
  • FINRA Series 6, 26 or 7, 24 licensed or ability to do so within 120 days.
  • Advanced knowledge of government and regulatory laws.
  • Thorough knowledge of U.S. Bancorp Asset Management and USBI Fund Distribution operations, policies, and procedures.
  • Ability to research and manage multiple projects and deadlines simultaneously.
  • Effective verbal and written communication skills.
Benefits
  • Healthcare (medical, dental, vision)
  • Basic term and optional term life insurance
  • Short-term and long-term disability
  • Pregnancy disability and parental leave
  • 401(k) and employer-funded retirement plan
  • Paid vacation (from two to five weeks depending on salary grade and tenure)
  • Up to 11 paid holiday opportunities
  • Adoption assistance
  • Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard skills
regulatory compliancerisk managementproject managementtraining and developmentemail reviewmarketing material approvalrecord maintenancethird party managementaccess managementinvoicing
Soft skills
collaborationconsultingeffective communicationorganizational skillsability to manage multiple projectsdeadline management
Certifications
FINRA Series 6FINRA Series 26FINRA Series 7FINRA Series 24