Supervision Manager

Bank of America

. The Supervisory Management position will serve to ensure regulatory compliance and corporate mandates for all administrative, sales, and operational activities performed by Field Financial Services Advisors (FSA), Banking Financial Advisors (BFA), & Corporate Financial Solutions Advisors (CFSA) in the Merrill Edge platform .

Posted 5/21/2026full-timeLos Angeles • Arizona, California, Nevada, Texas • 🇺🇸 United StatesMid-LevelSenior💰 $87,700 - $101,900 per yearWebsite

About the role

Key responsibilities & impact

The Supervisory Management position will serve to ensure regulatory compliance and corporate mandates for all administrative, sales, and operational activities performed by Field Financial Services Advisors (FSA), Banking Financial Advisors (BFA), & Corporate Financial Solutions Advisors (CFSA) in the Merrill Edge platform
A predominate objective of the position is to limit risk and financial exposure to the business unit and the firm
The SM supports the Firm's business objectives and contributes to the line of business profitability by influencing Advisor business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation
Coach and drive good behaviors and best practices to operate within the company’s risk controls and promote operational excellence
Use existing supervisory applications to complete semi-annual audits of each individual FSA/BFA/CFSA 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
Perform client contact, as necessary
Review and maintain all Client, Compliance and Regulatory Incoming and Outgoing Correspondence
Provide market and non-market action decisions
Monitor and review large trade and managed account enrollments
Monitor accounts with large debit balances and short market values over $500,000 and coordinate approval with Credit Administration and clients
Manage projects / initiatives to improve sales supervision and risk management
Monitor transactions for adherence to state registration requirements
Monitor adherence to all established policies and procedures by registered representatives
Escalate emerging risks within the enterprise risk framework to identify potential business concerns and/or breakdown in controls.

Requirements

What you’ll need

Bachelor’s Degree or equivalent work experience
Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role
Familiarity with compliance and regulatory issues
Strong auditing background with willingness to travel
Strong leadership abilities, communication and delegation skills
Familiarity with Microsoft Word, Excel, and PowerPoint
Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, and policies/procedures
Strong time management and organization skills with the ability to prioritize appropriately
Proven ability to build and retain strong interpersonal relationships
Ability to identify client needs and concerns, and coach advisors on aligning solutions to goals in a suitable and controlled way
Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk
Demonstrated strong and effective leadership style through clear communication and collaboration with other partners to make sound decisions with courage and conviction

Benefits

Comp & perks

We provide industry-leading benefits
Access to paid time off
Resources and support to our employees

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

FINRA Series 7FINRA Series 8FINRA Series 9/10FINRA Series 63FINRA Series 65FINRA Series 66auditingrisk managementcomplianceregulatory issues

Soft Skills

leadershipcommunicationdelegationtime managementorganizationinterpersonal relationshipsanalytical skillsdecision makingcoachingcollaboration

Certifications

Bachelor’s DegreeFINRA licenses