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U.S. Bank

Supervision Principal

U.S. Bank

Supervision Principal at U.S. Bank focusing on compliance and risk management across assigned regions.

Posted 7/4/2026full-timeBrea • California • 🇺🇸 United StatesLead💰 $98,345 - $115,700 per yearWebsite

About the role

Key responsibilities & impact
  • Play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s)
  • Collaborate closely with regional leadership
  • Execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews
  • Lead the annual OSJ examination process and conduct Annual Supervisor Reviews (ASeRs) for all registered representatives
  • Partner with regional teams to identify supervision and compliance training needs for Financial Advisors
  • Help ensure consistent application of regulatory and firm standards
  • Support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations

Requirements

What you’ll need
  • Bachelor's degree, or equivalent work experience
  • Five or more years of experience in the financial services industry
  • Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses

Benefits

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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Applicant Tracking System Keywords

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Hard Skills & Tools
Supervisory ResponsibilitiesTransaction ReviewsClient Interaction MonitoringAnnual Supervisor ReviewsCompliance Training Needs Assessment
Soft Skills
CollaborationLeadership
Certifications
FINRA Series 53 LicenseFINRA Series 63 LicenseFINRA Series 65 LicenseState Insurance Licenses