Senior Supervision Manager

Job Description:

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!

 

Enterprise Job Description:

Consumer Investments Senior Supervision Manager under CI Specialized Consumer Client Solutions Team

The Senior Supervision Manager operates as a liaison to senior leadership for day to day responsibilities of the team having demonstrated strong performance, leadership and a thorough understanding and expertise for the responsibilities of the role. Perform all activities associated with the Supervision Manager role in addition to the coordination of the day to day activities including, but not limited to, control and audit remediation, mock audits of books and records, onboarding of registered associates and communication & tracking of key performance objectives. Responsible for day to day front line supervision, including mandated supervisory reviews and enterprise alerts, trade, solution & enrollment review, trade correction, and complaint resolution. Additional responsibilities include development of advisor and associate proficiency through supplemental training, active coaching & remediation of policy and procedure violations.

Specifically, this position will support the CI Supervision At-Risk Persons Team and the CI Fraud Management Team which is responsible for the identification, management, resolution, and reporting of all At Risk Persons-related and Fraud-related situations for all CI clients/accounts. As part of daily responsibilities, the Senior Supervision Manager will be responsible for oversight of the team’s routines, reviewing and analyzing reporting, processes, procedures. Qualified candidates should demonstrate a high level of organizational skills, and a problem-solving ability required for these complex and sensitive situations.

Responsibilities:

• Complies with policies, procedures, and regulations to limit risk and financial exposure to the business and the firm
• Oversees the development and maintenance of workflows, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, and trade correction for consumer investments
• Monitors call center activities or financial center's ability to handle and resolve complaints
• Coordinates day-to-day activities such as control and audit remediation, mock audits of books and records, onboarding of registered associates, and communication and tracking of key performance objectives

Required Qualifications:

• Minimum of three years of experience in Consumer Investment Field Supervision
• Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 (in lieu of the 8 or 9/10, would consider candidates holding all of the following licenses: 4, 24 and 53)
• Familiarity with compliance and regulatory issues
• Strong auditing background with willingness to travel
• Strong leadership abilities, communication and delegation skills
• Experience with Microsoft Word, Excel and PowerPoint

Desired Qualifications:

• Attention to Detail
• Familiarity with compliance and regulatory issues
• Continuous Improvement
• Controls Management
• Merrill Edge, Merrill Lynch, supervision and operations experience
• Risk Management
• Fraud Management
• Issue Management
• Monitoring, Surveillance, and Testing
• Oral Communications
• Regulatory Relations
• Active Listening
• Decision Making
• Due Diligence
• Leadership Development
• Policies, Procedures, and Guidelines Management

Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Pay Transparency details

US - MD - Hunt Valley