- US Bank (Cincinnati, OH)
- …Description** **ESSENTIAL FUNCTIONS** **1. Works closely with the Market Leader and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and ... on transactions.** **7. Performs ongoing special projects assigned by Sales Supervision Manager.** **8. Analyze advisor activity for trends and patterns.** **9.… more
- US Bank (Cincinnati, OH)
- …appropriate laws and regulations. Works closely with the Regional Manager and Field Supervision Principal to assure adherence to FINRA, MSRB, OCC, and internal ... excel at-all from Day One. **Job Description** Provides direct sales supervision of securities transactions and new accounts. Ensures internal compliance polices,… more