- US Bank (Tempe, AZ)
- …new skills and discover what you excel at-all from Day One. **Job Description** The Central Supervision Principal - Complex Product Lead is primarily tasked ... will work closely with the Market Leaders and Field Supervision Principal to assure adherence to FINRA,...additional trade analysis/review support as needed to other traditional Central Principal teams. + Ensures trade activity… more
- US Bank (Tempe, AZ)
- …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