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

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance and risk management within the financial services industry, with a strong focus on regulatory standards and supervisory responsibilities. Proven ability to lead training initiatives and conduct thorough reviews to uphold ethical practices.

Highest-signal resume keywords

Compliance ManagementRisk ManagementFINRA Series 7 LicenseFINRA Series 24 LicenseFinancial Services Experience

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Supervisory ResponsibilitiesTransaction ReviewsClient Interaction MonitoringAnnual Supervisor ReviewsCompliance Training Needs Assessment

Soft Skills

CollaborationLeadership

Certifications & Qualifications

FINRA Series 53 LicenseFINRA Series 63 LicenseFINRA Series 65 LicenseState Insurance Licenses

Industry Keywords

Financial AdvisorsU.S. Bank Code of EthicsRegulatory StandardsOSJ Examination Process

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