Central Supervision Principal
U.S. Bank · Glendale
- Pay
- $75,905–$89,300/yr
- Job type
- Full-time
- Category
- Office & Professional
- Neighborhood
- Glendale
- Posted
- September 23, 2026 (5 days ago)
- Last verified
- Today
About the role
Central Supervision Principal at U.S. Bank. Performs supervision and compliance review functions for broker-dealer and investment advisory activities, ensuring adherence to applicable regulations and firm policies.
What you'll do
- Review and supervise investment-related communications, transactions, and activities for regulatory compliance
- Conduct surveillance and exception reviews to identify potential issues
- Prepare reports and maintain documentation for compliance purposes
- Collaborate with compliance, legal, and business line teams
- Stay current with FINRA, SEC, and state regulatory requirements
Requirements
- Bachelor's degree in finance, business, or related field
- Active FINRA Series 7 and 24 licenses (or ability to obtain)
- 3+ years of experience in broker-dealer compliance or supervision
- Strong analytical and written communication skills
Pay & benefits
$75,905–$89,300/yr. Full U.S. Bank benefits package including health, dental, vision, and 401(k).
This listing comes from U.S. Bank's own careers feed and was verified again today. Stale listings are removed automatically.
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Central Supervision Principal
$75,905–$89,300/yr