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Senior Supervision Manager

Senior Supervision Manager

Farmington Hills, Michigan;Jacksonville, Florida; Sacramento, California; Phoenix, Arizona; Plano, Texas; San Jose, California; Boston, Massachusetts; Charlotte, North Carolina; Chicago, Illinois; Philadelphia, Pennsylvania; Los Angeles, California; Bellevue, Washington

**Job Description:**

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 proficiency through supplemental training, active coaching & remediation of policy and procedure violations.

Required Skills: Must have these skills to be minimally qualified:

• Meets / Meets Rating

• One year experience minimum in Consumer Investment Field Supervision

• 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 (in lieu of the 8 or 9/10 we could 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

• Familiarity with Microsoft Word, Excel, and PowerPoint

**Job Band:**

H5

**Shift:**

1st shift (United States of America)

**Hours Per Week:**

40

**Weekly Schedule:**

**Referral Bonus Amount:**

0

**Job Description:**

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 proficiency through supplemental training, active coaching & remediation of policy and procedure violations.

Required Skills: Must have these skills to be minimally qualified:

• Meets / Meets Rating

• One year experience minimum in Consumer Investment Field Supervision

• 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 (in lieu of the 8 or 9/10 we could 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

• Familiarity with Microsoft Word, Excel, and PowerPoint

**Shift:**

1st shift (United States of America)

**Hours Per Week:**

40

Learn more about this role

Full time

JR-22080363

Band: H5

Manages People: No

Travel: Yes, 25% of the time

Manager:

Talent Acquisition Contact:

KRYSTAL HOLT

Referral Bonus:

0

Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our teammates.

To view the "EEO is the Law" poster, CLICK HERE (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf) .

To view the "EEO is the Law" Supplement, CLICK HERE (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP\_EEO\_Supplement\_Final\_JRF\_QA\_508c.pdf) .

Bank of America aims to create a workplace free from the dangers and resulting consequences of illegal and illicit drug use and alcohol abuse. Our Drug-Free Workplace and Alcohol Policy (“Policy”) establishes requirements to prevent the presence or use of illegal or illicit drugs or unauthorized alcohol on Bank of America premises and to provide a safe work environment.

To view Bank of America’s Drug-free workplace and alcohol policy, CLICK HERE .

Senior Supervision Manager

Full time
Plano, TX

Published on 09/17/2022

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