Compliance Principal (US Bancorp Investments and Insurance) Job in Bellevue, Washington US

Compliance Principal (US Bancorp Investments and Insurance)Provide sales supervision for the assigned Region while working closely with Region Sales Manager, Financial Advisors, 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 Read more […]

September 6, 2011 • Tags: , • Posted in: General • Comments Off on Compliance Principal (US Bancorp Investments and Insurance) Job in Bellevue, Washington US