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. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We're devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being. Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization. Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us!
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The Supervision Manager position will serve to ensure regulatory compliance and corporate mandates for all administrative and operational activities performed in the Merrill Edge. Merrill Edge is a telephone-based platform that provides mass affluent clients with holistic financial advice and deepens client relationships by identifying broader product and service solutions to meet their investment, savings and credit needs. 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.
Responsibilities:
- Ensures employees comply with policies, procedures, and regulations to limit risk and financial exposure to the business and the firm
- Creates and oversees team workflow, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, and trade correction for consumer investments
- Monitors employees in call centers or financial centers ability to handle and resolve complaints
Required Qualifications:
- FINRA Series 7, 8 or 9/10, 66 or 63/65
- In lieu of the 8 or 9/10 we could consider candidates holding all the following licenses: (4 and 24 and 53)
- Strong Leadership and Communication skills
- Able to foster collaborative relationships within and across business units
- Demonstrate integrity and remains calm under pressure
- Familiarity with compliance and regulatory issues
- Proficient in Microsoft Office applications
- Merrill Edge, Merrill Lynch, or Operations experience
Additional Skills Used:
- Attention to Detail
- Continuous Improvement
- Controls Management
- Risk Management
- Fraud Management
- Issue Management
- Monitoring, Surveillance, and Testing
- Policies, Procedures, and Guidelines Management
- Regulatory Relations
- Active Listening
- Decision Making
- Due Diligence
- Leadership Development
- Oral Communications
Shift:
1st shift (United States of America)
Hours Per Week:
40