- Works closely with regional partners (Region Manager -RM, Region Administration Manager -RAM and Central Principal- CP) on the assigned region's adherence to FINRA, SEC, MSRB, OCC, and internal compliance policies.
- Performs delegated supervisory functions including but not limited to the Supervision Delegation Memorandum (includes reviewing correspondence, monthly client calls, transaction reviews, etc.).
- Prepares for and oversees the Office of Supervisory Jurisdiction's (OSJ) annual examination process.
- Executes Annual Supervisory Reviews (ASeRs) on all registered representatives per firm policies. Completes ASeR template and presents actions necessary to rectify all identified issues.
- Works in partnership with the RM and RAM to identify supervision and compliance training needs of the sales field to include FAs and RCAs.
- Monitors for completion of firm and regulator continuing education requirements such as Firm Element, regulatory CE, etc.
- Acts as a liaison between the assigned region and other departments on supervision related matters.
- Performs ongoing special projects as assigned by the Supervision Manager (SM).
- Actively ensures 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. Actively participates in any required corporate and business line training in these areas. Follows account opening procedures and understands and follows internal suspicious activity referral requirements and processes, as required for this position. Actively works with customers to understand each customer's normal account activity, as appropriate for this position.
- Bachelor's degree, or equivalent work experience
- Five or more years of experience in financial services industry
- NASD Series 7, 24, 53, 63 and 65/66 licenses Preferred Skills/Experience
- Well-developed ability to manage multiple tasks/projects and deadlines simultaneously
- Well-developed ability to resolve complex problems with minimal guidance
- Strong analytical and decision-making skills
- Excellent interpersonal, verbal and written communication skills
- Proficient computer skills, especially Microsoft Office and other applicable software applications
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