Senior Supervision Manager
Bank of America
Supervision Manager
Bank of America
full-time
Posted on:
Location Type: Office
Location: Boston • Maryland, Massachusetts, New Jersey, Rhode Island • 🇺🇸 United States
Visit company websiteSalary
💰 $87,700 - $101,900 per year
Job Level
Mid-LevelSenior
About the role
- This job is responsible for supervising client account activities by monitoring administrative, sales, and trading tasks performed by registered employees.
- Key responsibilities include limiting risk and financial exposure to the business unit and the bank for registered employees located in call centers or financial centers.
- Job expectations include overseeing day-to-day front line supervision, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, trade correction, and complaint resolution.
- The Supervision Manager position will serve to ensure regulatory compliance and corporate mandates for all administrative and operational activities performed in the Merrill Edge.
- A predominant objective of the position is to limit risk and financial exposure to the business unit and the Firm and supervise the sales units’ overall adherence to Firm policies and procedures.
Requirements
- Must have FINRA Series SIC, 7, 66, 9/10 or equivalent required
- Familiarity with Microsoft Word, Excel, and PowerPoint considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding)
- Familiarity with compliance and regulatory issues
- Strong auditing background with willingness to travel
- Strong leadership abilities, communication and delegation skills
Benefits
- This role is currently benefits eligible.
- We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
auditingrisk managementfinancial exposure managementsupervisory reviewstrade correctioncomplaint resolution
Soft skills
leadershipcommunicationdelegation
Certifications
FINRA Series SICFINRA Series 7FINRA Series 66FINRA Series 9FINRA Series 10
