Manager, Transport Spectator Parking
FIFA
Supervision Manager
Bank of America
full-time
Posted on:
Location Type: Hybrid
Location: Tampa • Florida, North Carolina • 🇺🇸 United States
Visit company websiteJob Level
JuniorMid-Level
About the role
- Use existing supervisory applications to complete quarterly registered representative review of each individual FSA location, ensuring compliance with all policies, procedures, settings and circumstances.
- Review, respond, and resolve Sales Practice customer complaints received verbally or in writing for Merrill edge.
- Assist in arbitration and legal matters.
- Monitor and review Investor Profile changes.
- Review Policy Settlements of a particular threshold to ensure settlements are within Firm Policy and Procedures.
Requirements
- 2 years industry experience
- Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
- Bachelor’s Degree or equivalent work experience
- Familiarity with compliance and regulatory issues
- Strong auditing background with willingness to travel
- Familiarity with Microsoft Word, Excel, and PowerPoint
Benefits
- A predominate objective of the position is to limit risk and financial exposure to the business unit and the firm.
- Become a member of the Branch Leadership Team, along with members of the Centralized Supervision.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
auditingcomplianceregulatory issuesarbitrationlegal mattersinvestor profile reviewpolicy settlements
Soft skills
problem solvingcommunicationcustomer serviceattention to detailwillingness to travel
Certifications
FINRA Series 7FINRA Series 8FINRA Series 9/10FINRA Series 63FINRA Series 65FINRA Series 66FINRA Series 4FINRA Series 24FINRA Series 53
