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 (10 days ago)
- Last verified
- October 2, 2026
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 last verified against it on October 2, 2026. Stale listings are removed automatically.
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Central Supervision Principal
$75,905–$89,300/yr