Senior Supervision Manager

🕒 April 29

🏢🏡 Los Angeles – Hybrid

💵 $101k - $108.6k / year

⏰ Full Time

🟠 Senior

👔 Manager

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Bank of America

WebsiteLinkedInAll Job Openings

10,000+ employees

🏦 Banking

💸 Finance

💳 Fintech

Banking • Finance • Fintech

Bank of America is a leading global financial institution that provides a comprehensive range of banking, investment, and financial services to individuals, businesses, and institutions. Committed to responsible growth, the bank offers personal banking, small business support, wealth management services, and access to capital markets. With a focus on economic and social progress, Bank of America aims to drive sustainable finance, promote diversity, and support community development through various initiatives.

📋 Description

• 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.

🎯 Requirements

• 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 • 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 • 2-year experience minimum in Consumer Investment Field Supervision • Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, and policies/procedures. • Strong time management and organization skills with the ability to prioritize appropriately. • Proven ability to build and retain strong interpersonal relationships. • Ability to identify client needs and concerns, and coach advisors on aligning solutions to goals in a suitable and controlled way • Strong analytical skills with the ability to identify trends, root cause and effects, and implement improved processes to mitigate risk.

🏖️ Benefits

• This role is currently benefits eligible. • We provide industry-leading benefits. • Access to paid time off. • Resources and support to our employees.