U.S. Bank Supervision Principal 2 in SAN DIEGO, California

Provide sales supervision, compliance, operations, and administrative support to Region/District Sales Manager, Investment Financial Consultants, and Sales Assistants on a delegated basis. Works closely with manager to assure adherence to federal regulations and internal compliance policies by ensuring that all suitability reviews are accomplished in a timely manner and every location within area is reviewed per firm policies. Prepares written report of findings and presents actions necessary to rectify situation. Acts in supervisory principal capacity to review and approve outgoing customer correspondence. Coordinates monthly sales meetings, agendas, minutes, and follow-up. Collects weekly/monthly sales activity numbers and referral results, prepares required reports and reports results to manager. Prepares required Human Resource logs and related files.


Basic Qualifications

  • Bachelor's degree, or equivalent work experience

  • Five or more years of experience in financial services industry

  • NASD Series 7, 24, 53, 63 and 65/66 licenses

Preferred Skills/Experience

  • Well-developed ability to manage multiple tasks/projects and deadlines simultaneously

  • Well-developed ability to resolve complex problems with minimal guidance

  • Strong analytical and decision-making skills

  • Excellent interpersonal, verbal and written communication skills

  • Proficient computer skills, especially Microsoft Office and other applicable software applications

Job: Investments / Insurance

Primary Location: CA-CA-San Diego

Shift: 1st - Daytime

Average Hours Per Week: 40

Requisition ID: 180013477

U.S. Bank is an Equal Opportunity Employer committed to creating a diverse workforce.

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.