Principal Supervisor

Bank of America

Supervision Principal at Bank of America responsible for conducting supervisory reviews of registered employee activities and ensuring regulatory compliance. Collaborating with diverse teams to manage risks and compliance effectively.

Posted 7/25/2026full-timeBoston • Maryland, Massachusetts, New Jersey, Rhode Island • 🇺🇸 United StatesLead💰 $86,800 - $95,800 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in regulatory compliance, investment transaction reviews, and employee training, while effectively managing client relationships and enhancing operational processes. Proficient in identifying risks and ensuring adherence to financial regulations through strong communication and leadership skills.

Highest-signal resume keywords

FINRA Series 7FINRA Series 66Investment Transaction ReviewRegulatory ComplianceClient Service Skills

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

FINRA Series 9FINRA Series 10Audit SupportRegistration Process KnowledgeFinancial Products Knowledge

Soft Skills

Strong Communication SkillsTime Management SkillsOrganizational SkillsLeadership SkillsCollaboration Skills

Certifications & Qualifications

FINRA Series 7FINRA Series 66FINRA Series 9FINRA Series 10

Industry Keywords

ComplianceRegulatory IssuesEmployee TrainingProcess ImprovementBrokerage Activity

About the role

Key responsibilities & impact

Conducting defined supervisory reviews and approvals related to registered employee activities
Oversight of Email and personal brokerage activity
Review outside business activity disclosures
Investment transaction reviews
Audit and compliance support
Registration and licensing
Written electronic communication review and escalation
Enhanced Monitoring and Heightened Supervision administration
Employee training and process improvement
Identifying and escalating emerging risks and trends to ensure proactive supervision and regulatory compliance

Requirements

What you’ll need

FINRA Series 7 and 66 required to be considered
FINRA Series 9 and 10; must be willing to obtain within 120 days
Strong client service skills
Strong communication, time management and organizational skills
Strong leadership and willingness to collaborate with partners
Knowledge of and/or experience in Investments and/or Operations
Familiarity with compliance and regulatory issues
Prior knowledge of registration process, financial products, policies and procedures are highly preferred
Bachelor’s Degree in related field or equivalent work experience

Benefits

Comp & perks

Health insurance
401(k) matching
Paid time off
Discretionary incentive eligible
Access to resources and support for physical, emotional, and financial wellness