4 Supervision Principal jobs in the United States
Supervision Principal
92648 Huntington, California
U.S. Bank
Posted today
Job Viewed
Job Description
At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
**Job Description**
As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership - including Regional Managers, Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures.
In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ examination process an conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed.
You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.
**Basic Qualifications**
- Bachelor's degree, or equivalent work experience
- Five or years of experience in the financial services industry
- Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses
**Preferred Skills/Experience**
- Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
- Strong critical thinking and problem solving skills with minimal oversight
- Well developed analytical and sound decision making capabilities
- Excellent communication skills, both verbal and written, with a collaborative approach
- Proficiency in Microsoft Office and other commonly used business software applications
**Location Expectations**
This role offers a hybrid/flexible schedule, which means there's an in office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ 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
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,345.00 - $115,700.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
**Job Description**
As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership - including Regional Managers, Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures.
In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ examination process an conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed.
You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.
**Basic Qualifications**
- Bachelor's degree, or equivalent work experience
- Five or years of experience in the financial services industry
- Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses
**Preferred Skills/Experience**
- Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
- Strong critical thinking and problem solving skills with minimal oversight
- Well developed analytical and sound decision making capabilities
- Excellent communication skills, both verbal and written, with a collaborative approach
- Proficiency in Microsoft Office and other commonly used business software applications
**Location Expectations**
This role offers a hybrid/flexible schedule, which means there's an in office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ 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
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,345.00 - $115,700.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
View Now
0
Supervision Principal
92604 Woodbridge, California
U.S. Bank
Posted today
Job Viewed
Job Description
At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
**Job Description**
As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership - including Regional Managers, Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures.
In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ examination process an conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed.
You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.
**Basic Qualifications**
- Bachelor's degree, or equivalent work experience
- Five or years of experience in the financial services industry
- Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses
**Preferred Skills/Experience**
- Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
- Strong critical thinking and problem solving skills with minimal oversight
- Well developed analytical and sound decision making capabilities
- Excellent communication skills, both verbal and written, with a collaborative approach
- Proficiency in Microsoft Office and other commonly used business software applications
**Location Expectations**
This role offers a hybrid/flexible schedule, which means there's an in office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ 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
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,345.00 - $115,700.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
**Job Description**
As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership - including Regional Managers, Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures.
In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ examination process an conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed.
You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.
**Basic Qualifications**
- Bachelor's degree, or equivalent work experience
- Five or years of experience in the financial services industry
- Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses
**Preferred Skills/Experience**
- Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
- Strong critical thinking and problem solving skills with minimal oversight
- Well developed analytical and sound decision making capabilities
- Excellent communication skills, both verbal and written, with a collaborative approach
- Proficiency in Microsoft Office and other commonly used business software applications
**Location Expectations**
This role offers a hybrid/flexible schedule, which means there's an in office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ 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
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,345.00 - $115,700.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
View Now
1
Supervision Principal
92662 Balboa Island, California
U.S. Bank
Posted today
Job Viewed
Job Description
At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
**Job Description**
As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership - including Regional Managers, Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures.
In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ examination process an conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed.
You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.
**Basic Qualifications**
- Bachelor's degree, or equivalent work experience
- Five or years of experience in the financial services industry
- Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses
**Preferred Skills/Experience**
- Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
- Strong critical thinking and problem solving skills with minimal oversight
- Well developed analytical and sound decision making capabilities
- Excellent communication skills, both verbal and written, with a collaborative approach
- Proficiency in Microsoft Office and other commonly used business software applications
**Location Expectations**
This role offers a hybrid/flexible schedule, which means there's an in office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ 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
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,345.00 - $115,700.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
**Job Description**
As a Supervision Principal at U.S. Bank, you will play a critical role in maintaining a strong culture of compliance and risk management across your assigned region(s). You will collaborate closely with regional leadership - including Regional Managers, Regional Administration Managers, and Central Supervision - to ensure adherence to FINRA, SEC, MSRB, OCC, and internal supervisory policies and procedures.
In this role, you will execute delegated supervisory responsibilities such as reviewing correspondence, monitoring client interactions, and conducting transaction reviews. You will lead the annual Office of Supervisory Jurisdiction (OSJ examination process an conduct Annual Supervisor Reviews (ASeRs) for all registered representatives, documenting findings and recommending corrective actions as needed.
You will also partner with regional teams to identify supervision and compliance training needs for Financial Advisors and other registered representatives, while ensuring timely completion of continuing education requirements. As a liaison between the region and the internal departments, you will help ensure consistent application of regulatory and firm standards. Additionally, you'll support special projects and uphold U.S. Bank's Code of Ethics and regulatory obligations, including AML, BSA, and information security protocols.
**Basic Qualifications**
- Bachelor's degree, or equivalent work experience
- Five or years of experience in the financial services industry
- Active FINRA Series 7, 24, 53, 63 and 65/66 licenses and state insurance licenses
**Preferred Skills/Experience**
- Demonstrated ability to manage multiple tasks and projects effectively under tight deadlines
- Strong critical thinking and problem solving skills with minimal oversight
- Well developed analytical and sound decision making capabilities
- Excellent communication skills, both verbal and written, with a collaborative approach
- Proficiency in Microsoft Office and other commonly used business software applications
**Location Expectations**
This role offers a hybrid/flexible schedule, which means there's an in office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ 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
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $98,345.00 - $115,700.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**
View Now
2
Client Workflow Supervision Supervisory Principal
78284 San Antonio, Texas
Citigroup
Posted 3 days ago
Job Viewed
Job Description
The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their application in own job and the business. Recognized technical authority for an area within the business. Requires basic commercial awareness. There are typically multiple people within the business that provide the same level of subject matter expertise. Developed communication and diplomacy skills are required in order to guide, influence and convince others, in particular colleagues in other areas and occasional external customers. Significant impact on the area through complex deliverables. Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area, which eventually affects the overall performance and effectiveness of the sub-function/job family.
**Responsibilities:**
+ Responsible for managing and supporting multiple risk and control programs for the organization including defining the strategy, approach, processes, quality, tools and reporting that provide global risk management consistency and excellence.
+ Establishes quarterly audit process of attributes to ensure proper calculation and control.
+ Works closely with business partners on findings and makes recommendations on improving practices.
+ Develops procedural implementation and change management process with Operations and Reporting team to ensure proper governance and controls exist.
+ Examines procedures for consistency and gaps relative to regulations in addition to impacts on customer experience.
+ Conducts internal testing of dispute processes to ensure control.
+ Monitors exceptions to dispute policy and identifies drivers of exceptions.
+ Leverages data to examine impacts to Customer Experience and Regulatory breaks.
+ Has the ability to operate with a limited level of direct supervision.
+ Can exercise independence of judgement and autonomy.
+ Acts as SME to senior stakeholders and /or other team members.
+ Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
**Qualifications:**
+ 6-10 years relevant work experience in Business Risk & Controls
+ MS Excel, MS Access, SAS, SQL, Visual Basic a plus. 5+ years' experience in financial services.
+ Consistently demonstrates clear and concise written and verbal communication skills
+ Effective organizational influencing skills required.
+ Third party vendor management preferred. Demonstrated ability to lead global team efforts
+ Excellent problem solving skills Ability to see the big pictures with high attention to critical details
+ Demonstrated ability to develop and implement strategy and process improvement initiatives.
+ Required Securities Licensure (depending on role select from the following):
+ Series 7 license; and
+ Series 63 and Series 65 or Series 66; and
+ Series 8 or Series 9 and Series 10 or Series 24
**Education:**
+ Bachelor's/University degree or equivalent experience, potentially Masters degree
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**Job Family Group:**
Risk Management
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**Job Family:**
Business Risk & Control
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**Time Type:**
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**Primary Location:**
San Antonio Texas United States
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**Primary Location Full Time Salary Range:**
$103,920.00 - $155,880.00
In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.
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**Anticipated Posting Close Date:**
Nov 27, 2024
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Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review **Accessibility at Citi ( .
View the "EEO is the Law ( " poster. View the EEO is the Law Supplement ( .
View the EEO Policy Statement ( .
View the Pay Transparency Posting ( is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
**Responsibilities:**
+ Responsible for managing and supporting multiple risk and control programs for the organization including defining the strategy, approach, processes, quality, tools and reporting that provide global risk management consistency and excellence.
+ Establishes quarterly audit process of attributes to ensure proper calculation and control.
+ Works closely with business partners on findings and makes recommendations on improving practices.
+ Develops procedural implementation and change management process with Operations and Reporting team to ensure proper governance and controls exist.
+ Examines procedures for consistency and gaps relative to regulations in addition to impacts on customer experience.
+ Conducts internal testing of dispute processes to ensure control.
+ Monitors exceptions to dispute policy and identifies drivers of exceptions.
+ Leverages data to examine impacts to Customer Experience and Regulatory breaks.
+ Has the ability to operate with a limited level of direct supervision.
+ Can exercise independence of judgement and autonomy.
+ Acts as SME to senior stakeholders and /or other team members.
+ Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.
**Qualifications:**
+ 6-10 years relevant work experience in Business Risk & Controls
+ MS Excel, MS Access, SAS, SQL, Visual Basic a plus. 5+ years' experience in financial services.
+ Consistently demonstrates clear and concise written and verbal communication skills
+ Effective organizational influencing skills required.
+ Third party vendor management preferred. Demonstrated ability to lead global team efforts
+ Excellent problem solving skills Ability to see the big pictures with high attention to critical details
+ Demonstrated ability to develop and implement strategy and process improvement initiatives.
+ Required Securities Licensure (depending on role select from the following):
+ Series 7 license; and
+ Series 63 and Series 65 or Series 66; and
+ Series 8 or Series 9 and Series 10 or Series 24
**Education:**
+ Bachelor's/University degree or equivalent experience, potentially Masters degree
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**Job Family Group:**
Risk Management
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**Job Family:**
Business Risk & Control
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**Time Type:**
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**Primary Location:**
San Antonio Texas United States
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**Primary Location Full Time Salary Range:**
$103,920.00 - $155,880.00
In addition to salary, Citi's offerings may also include, for eligible employees, discretionary and formulaic incentive and retention awards. Citi offers competitive employee benefits, including: medical, dental & vision coverage; 401(k); life, accident, and disability insurance; and wellness programs. Citi also offers paid time off packages, including planned time off (vacation), unplanned time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits.com. Available offerings may vary by jurisdiction, job level, and date of hire.
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**Anticipated Posting Close Date:**
Nov 27, 2024
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Citi is an equal opportunity and affirmative action employer.
Qualified applicants will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Citigroup Inc. and its subsidiaries ("Citi") invite all qualified interested applicants to apply for career opportunities. If you are a person with a disability and need a reasonable accommodation to use our search tools and/or apply for a career opportunity review **Accessibility at Citi ( .
View the "EEO is the Law ( " poster. View the EEO is the Law Supplement ( .
View the EEO Policy Statement ( .
View the Pay Transparency Posting ( is an equal opportunity and affirmative action employer.
Minority/Female/Veteran/Individuals with Disabilities/Sexual Orientation/Gender Identity.
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