Partners with the Market Leader to assure adherence to FINRA, SEC, MSRB, OCC and internal compliance policies. Performs delegated supervisory functions including but not limited to reviewing ...
Partners with the Market Leader to assure adherence to FINRA, SEC, MSRB, OCC and internal compliance policies. Performs delegated supervisory functions including but not limited to reviewing ...
Associate Principal Analyst, Advertising Regulation
Rockville, MD · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Rockville, MD · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
New York, NY · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
New York, NY · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
New York, NY · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
New York, NY · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Key Responsibilities ✔ Monitor proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, NFA, state regulations) and advise management on impacts ✔ Perform FINRA Branch Office ...
Quick apply
Key Responsibilities ✔ Monitor proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, NFA, state regulations) and advise management on impacts ✔ Perform FINRA Branch Office ...
Work cross functionally/business unit (BU) to develop the Medical Safety Review Board (MSRB), which will be designed for safety signal detection review. This includes developing, gathering, managing ...
Work cross functionally/business unit (BU) to develop the Medical Safety Review Board (MSRB), which will be designed for safety signal detection review. This includes developing, gathering, managing ...
Associate Principal Analyst, Advertising Regulation
Chicago, IL · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Chicago, IL · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Boca Raton, FL · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Boca Raton, FL · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Dallas, TX · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Dallas, TX · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Rockville, MD · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Rockville, MD · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Washington, DC · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Washington, DC · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Philadelphia, PA · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Associate Principal Analyst, Advertising Regulation
Philadelphia, PA · Hybrid
$96K - $180K/yr
Independently reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Assists with mentoring staff by monitoring ...
Partners with the Market Leader to assure adherence to FINRA, SEC, MSRB, OCC and internal compliance policies. Performs delegated supervisory functions including but not limited to reviewing ...
Partners with the Market Leader to assure adherence to FINRA, SEC, MSRB, OCC and internal compliance policies. Performs delegated supervisory functions including but not limited to reviewing ...
Partners with the Market Leader to assure adherence to FINRA, SEC, MSRB, OCC and internal compliance policies. Performs delegated supervisory functions including but not limited to reviewing ...
Partners with the Market Leader to assure adherence to FINRA, SEC, MSRB, OCC and internal compliance policies. Performs delegated supervisory functions including but not limited to reviewing ...
Partners with the Market Leader to assure adherence to FINRA, SEC, MSRB, OCC and internal compliance policies. Performs delegated supervisory functions including but not limited to reviewing ...
Partners with the Market Leader to assure adherence to FINRA, SEC, MSRB, OCC and internal compliance policies. Performs delegated supervisory functions including but not limited to reviewing ...
Exchange Act rules, MSRB rules, FINRA fixed income obligations, Regulation M, Rule 144, Rule 10b-5, SEC/FINRA reporting rules, and market abuse regimes. * Excellent judgment, communication skills ...
Exchange Act rules, MSRB rules, FINRA fixed income obligations, Regulation M, Rule 144, Rule 10b-5, SEC/FINRA reporting rules, and market abuse regimes. * Excellent judgment, communication skills ...
The CO helps to ensure that all advisors and other associated persons comply with all federal, state, SEC, FINRA and MSRB rules and regulations and the Firm's policies and procedures. In addition to ...
The CO helps to ensure that all advisors and other associated persons comply with all federal, state, SEC, FINRA and MSRB rules and regulations and the Firm's policies and procedures. In addition to ...
The CO helps to ensure that all advisors and other associated persons comply with all federal, state, SEC, FINRA and MSRB rules and regulations and the Firm's policies and procedures. In addition to ...
The CO helps to ensure that all advisors and other associated persons comply with all federal, state, SEC, FINRA and MSRB rules and regulations and the Firm's policies and procedures. In addition to ...
Broad and extensive working knowledge of FINRA, SEC, and/or MSRB regulations and their applicability to differing circumstances. * Effective communication skills with polished and persuasive speaking ...
Broad and extensive working knowledge of FINRA, SEC, and/or MSRB regulations and their applicability to differing circumstances. * Effective communication skills with polished and persuasive speaking ...
Broad and extensive working knowledge of FINRA, SEC, and/or MSRB regulations and their applicability to differing circumstances. * Effective communication skills with polished and persuasive speaking ...
Broad and extensive working knowledge of FINRA, SEC, and/or MSRB regulations and their applicability to differing circumstances. * Effective communication skills with polished and persuasive speaking ...
Msrb information
See salary details
$30.05 - $35.71
12% of jobs
$39.32 is the 25th percentile. Wages below this are outliers.
$35.71 - $41.37
21% of jobs
$41.37 - $47.03
6% of jobs
$47.03 - $52.69
7% of jobs
The median wage is $54.01 / hr.
$52.69 - $58.35
16% of jobs
$58.35 - $64.01
9% of jobs
$65.42 is the 75th percentile. Wages above this are outliers.
$64.01 - $69.67
14% of jobs
$69.67 - $75.33
2% of jobs
$75.33 - $80.99
2% of jobs
$80.99 - $86.65
2% of jobs
$86.65 - $92.31
8% of jobs
$30
$56
$92
How much do msrb jobs pay per hour?
What is the difference between Msrb vs Financial Analyst?
| Aspect | Msrb | Financial Analyst |
|---|---|---|
| Required Credentials | Typically requires a bachelor's degree in finance, economics, or related field | Usually requires a bachelor's degree; some roles prefer or require certifications like CFA or CPA |
| Work Environment | Works in financial markets, regulatory agencies, or government entities | Works in corporate, investment firms, or financial institutions analyzing data and trends |
| Industry Usage | Commonly employed in municipal securities and financial regulation | Widely used across finance, banking, investment, and corporate sectors |
While both Msrb and Financial Analyst roles involve finance knowledge, Msrb typically focuses on municipal securities and regulatory functions, whereas Financial Analysts analyze financial data to guide investment decisions across various industries.

Full-time
Medical, Dental, Vision, Life, Retirement, PTO
Posted 21 days ago
U.S. Bank rating
8.2
Based on 345 frontline employees who took The Breakroom Quiz
38th of 141 rated banks
Job description
At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
Job DescriptionGENERAL SUMMARY:
Manages delegated sales supervision for the Office of Supervisory Jurisdiction (OSJ) Market Leader (ML), Wealth Management Advisor (Advisor), and Wealth Management Associate (Associate). Responsibilities include duties aimed at securing adherence to the Firm's Written Supervisory Procedures (WSPs), including coaching and training of the associated persons assigned to their OSJ.
ESSENTIAL FUNCTIONS:
Works in partnership with the other Market Leaders, Market Leader (ML), Market Administration Leader (MAL) and Central Principal (CP), on the assigned market's adherence to FINRA, SEC, MSRB, OCC, and internal compliance policies.
Manages first line supervision by monitoring associated persons' compliance withfirm and regulatory risk management policies and regulations.
Provides oversight of the U.S. Bank Code of Ethics and all Anti-Money Laundering, Bank Secrecy Act, information security and suspicious activity reporting requirements, policies and procedures. Actively participates in any required corporate and business line training in these areas. Follows account opening procedures and understands and follows internal suspicious activity referral requirements and processes, as required for this position. Actively works with customers to understand each customer's normal account activity, as appropriate for this position. Partners with the Market Leader to assure adherence to FINRA, SEC, MSRB, OCC and internal compliance policies.Performs delegated supervisory functions including but not limited to reviewing correspondence, monthly client calls, transaction reviews.
Prepares for and oversees the Office of Supervisory Jurisdiction's (OSJ) annual examination process. Executes Annual Supervisory Reviews (ASeRs) on all registered representatives per firm policies. Completes ASeR template and presents actions necessary to rectify all identified issues. Identifies needs and delivers supervision and compliance training to their associated persons' either in a targeted or market-wide basis. Monitors for completion of firm and regulator continuing education requirements such as Firm Element, regulatory CE, etc. Acts as a liaison between the assigned market and other departments on supervision related matters.
Provides input to influence departmental policy and procedures through participation in committees or on special projects as assigned by the Supervision Manager (SM).
It is the individual responsibility of every employee to maintain a current awareness and understanding of and to fully comply with U.S. Bancorp's "Code of Ethics". Each employee is also expected to maintain an awareness of the laws, regulations, internal policies and procedures that are appropriate for his/her position.
Basic Qualifications
- Bachelor's degree, or equivalent work experience
- Five or more years of experience in financial services industry
- Three to five years of sales supervision experience
- FINRA Series 7, 24, 53, 63 and 65/66 licenses, and State Insurance license
Preferred Qualifications:
Typically requires three years or more of securities principal experience, and a Bachelor's degree and/or progressive responsibilities in leadership is preferred. Must possess FINRA Series 7, 24, (or 9/10), and 63 or 66, and possess or have the ability to secure 53, 65 if required and state insurance license. Excellent knowledge of Microsoft Office suite and e-mail applications. Previous experience with supervisory systems such as WealthStation, Protegent and other applicable software applications is preferred.
The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to ourdisability accommodations for applicants.
Benefits:
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following:
Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
Review our full benefits available by employment status here.
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
E-Verify
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about theE-Verify program.
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $86,360.00 - $101,600.00U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
Posting may be closed earlier due to high volume of applicants.
What U.S. Bank employees say
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About U.S. Bank
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U.S. Bank is a reputable and established financial institution that plays a significant role in the banking sector. With a history spanning over 150 years, U.S. Bank has built a strong foundation of trust and reliability. As a comprehensive bank, they offer a wide array of financial products and services to cater to the diverse needs of their customers, including individuals, businesses, and communities. Customer satisfaction is of utmost importance to U.S. Bank. They prioritize delivering exceptional service and fostering long-term relationships with their clients. Through their extensive network of branches and advanced digital banking platforms, U.S. Bank ensures convenient access to their services, empowering customers to manage their finances efficiently and securely.
Industry
Banking and credit intermediation
Company size
10,000+ Employees
Headquarters location
Minneapolis, MN, US
Year founded
1863