Principal – Complex Product Lead

Central Supervision Principal managing compliance in Wealth Management at U.S. Bank.

Posted 6/3/2026full-timeLos Angeles • California • 🇺🇸 United StatesSenior💰 $86,530 - $101,800 per yearWebsite

Key responsibilities & impact

Analysis, review, and approval of all Investment Advisory accounts at account opening.
Provide additional trade analysis/review support as needed to other traditional Central Principal teams.
Ensure trade activity are suitable and in compliance with various policies and regulations.
Participate in special projects and training in support of firm's policies, procedures, and needs (ex. Audits, new product introductions, critical analysis of current trends and patterns).
Construct reports that assist in communicating daily trade volumes, CP team productivity, and other reports specific to a business line (Investment Advisory/Pre-Approvals).
Enforce compliance policies and procedures and escalate concerns when appropriate.
Actively ensure compliance with the U.S. Bank Code of Ethics and all Anti-Money Laundering, Bank Secrecy Act, information security and suspicious activity reporting requirements, policies, and procedures.
Participate in any required corporate and business line training in these areas.
Follow account-opening procedures and understand and follow internal suspicious activity referral requirements and processes, as required for this position.

What you’ll need

Bachelor degree or equivalent work experience
5 years or more supervisory principal experience
FINRA Series 7, 65/66, 24, and state insurance licenses or the ability to secure FINRA Series 4, 53 or 9/10 (or combination of acceptable/interchangeable licenses based on FINRA waiver rules or grandfather provisions within 180 days of employment)

Comp & perks

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

ATS Keywords

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Hard Skills & Tools

trade analysisreport constructioncompliance enforcementsuspicious activity reportingaccount opening procedures

Soft Skills

supervisory experiencecommunicationcritical analysisproblem-solving

Certifications

FINRA Series 7FINRA Series 65FINRA Series 66FINRA Series 24state insurance licensesFINRA Series 4FINRA Series 53FINRA Series 9FINRA Series 10