Supervision Principal

U.S. Bank is hiring a full-time Supervision Principal at its Brea, Orange County location — an opportunity to play a central role in maintaining the integrity and compliance of a leading financial institution's client-facing operations.

About the Role

As a Supervision Principal at U.S. Bank in Brea, you will serve as a cornerstone of the firm's regulatory compliance and supervisory framework. Working within a collaborative team environment, you will oversee the activities of registered representatives, ensure adherence to applicable regulations, and support a culture of accountability and ethical financial practice.

What You'll Do

• Review and approve transactions, client communications, and account documentation in accordance with FINRA, SEC, and firm supervisory requirements
• Monitor exception reports and trade activity to identify and address potential compliance concerns
• Conduct ongoing supervisory reviews of registered representatives and associated personnel
• Collaborate with compliance, legal, and risk teams to investigate and resolve supervisory exceptions
• Maintain and update written supervisory procedures to reflect regulatory changes and internal policy updates
• Support branch audits and regulatory examinations as needed
• Deliver training and guidance to staff on supervision policies, regulatory expectations, and best practices

What We're Looking For

• Active FINRA Series 7 and Series 24 licenses (Series 66 or equivalent a plus)
• Demonstrated experience in a financial services supervisory or compliance role
• Strong working knowledge of FINRA rules, SEC regulations, and applicable state securities laws
• Ability to analyze complex situations, exercise sound judgment, and escalate issues appropriately
• Excellent written and verbal communication skills with the ability to document supervisory decisions clearly
• Detail-oriented with strong organizational skills and the ability to manage multiple priorities in a fast-paced environment
• Collaborative mindset with a commitment to ethical conduct and client-first values

About U.S. Bank

U.S. Bank is one of the largest financial institutions in the United States, committed to helping individuals, businesses, and communities make smarter financial decisions. With a presence across the country — including right here in Orange County — U.S. Bank offers employees meaningful careers in an organization that values growth, inclusion, and shared purpose.

How to Apply

If you are a licensed supervision professional looking to advance your career with a trusted national bank in Brea, Orange County, submit your application directly through this listing.