U.S. Bank Job - 39201849 | CareerArc
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Company: U.S. Bank
Location: Claremont, CA
Career Level: Director
Industries: Banking, Insurance, Financial Services


At U.S. Bank, we're passionate about helping customers and the communities where we live and work. The fifth-largest bank in the United States, we're one of the country's most respected, innovative and successful financial institutions. U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.

Job Description

- Works under the direction of the Investment Advisory Supervision Manager, primarily tasked with analysis, review, and approval of all Investment Advisor accounts at account opening (including review of Advice Capture within the BPM workflow system).

- Enforces Investment Advisory platform compliance policies and guidelines and escalates concerns when it is appropriate to do so.

- Actively participates in special projects and training in support of firm's policies, procedures, and needs including but not limited to audits, new product introductions, critical analysis of current trends and patterns.

- Will act in a supporting role for the standard Central Principal position as needed.

Basic Qualifications

- Bachelor's degree, or equivalent work experience

- At least 5 years of experience in the financial industry

- 2 + years of experience in a supervision principal role

- FINRA Series 7, 63, 65 or 66, 24, 53, 4 and state insurance licenses or the ability to acquire.

Preferred Skills/Experience

- Good decision-making ability and attention to detail.

- Strong interpersonal, verbal and written communication skills.

- Ability to manage multiple projects and meet deadlines.

- Thorough knowledge of securities products.

- Proficient with various computer software programs, including Microsoft Office and have the ability to use recommended desktop planning tools and processes.

- Good conflict resolution skills.

- Strong ability to partner with others.

Take care of yourself and your family with U.S. Bank employee benefits.  We know that healthy employees are happy employees, and we believe that work/life balance should be easy to achieve.  That's why we share the cost of benefits and offer a variety of programs, resources and support you need to bring your full self to work and stay present and committed to the people who matter most - your family.

Learn all about U.S. Bank employee benefits, including tuition reimbursement, retirement plans and more, by visiting usbank.com/careers.

EEO is the Law
Applicants can learn more about the company's status as an equal opportunity employer by viewing the federal EEO is the Law poster.


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.

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