Trade and Client Review Supervision Principal - Supervision Principal IV

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!

Job Description :

This job is responsible for performing specific delegated supervisory functions to minimize financial, regulatory, and reputational risks.

Key responsibilities include reviewing, decisioning, escalating, and resolving supervisory tasks on behalf of the branch office, as determined by policy, procedure, and regulatory requirements.

Job expectations include working with Field Supervision leaders, Office Management Teams, Financial Advisors, Wealth Management Associates, Product Managers, and Control Partners to support the bank's responsible growth strategy.

This job is responsible for performing specific delegated supervisory functions to minimize financial, regulatory and reputational risks.

Key responsibilities include reviewing, decisioning, escalating and resolving supervisory tasks on behalf of the branch office, as determined by policy, procedure and regulatory requirements.

Supervision Principals also work closely with Field Supervision leaders, Office Management Teams, Financial Advisors, Wealth Management Associates, product managers and control partners in support of the firm's Responsible Growth strategy.

Responsibilities :

• Ensures compliance with policies, procedures, and regulations and oversees processes within a supervision group to identify, monitor, and limit risk and financial exposure to the business
• Partners and builds relationships with Field Supervision leaders, Office Management Teams, Financial Advisors, Wealth Management Associates, Product Managers, and Control Partners to resolve inquiries effectively and promptly
• Reviews and decisions alerts and tasks within a system of record application, while leveraging sound and consistent supervisory judgment
• Identifies and appropriately escalates emerging risks and trends that may not be readily recognized via existing routines, informed by established criteria, risk factors, and metrics
• Manages and prioritizes multiple tasks and maintains quality and timeliness of work deliverables and timelines

Skills :

• Attention to Detail
• Prioritization
• Problem Solving
• Relationship Building
• Risk Management
• Decision Making
• Interpret Relevant Laws, Rules, and Regulations
• Written Communications
• Adaptability
• Business Process Analysis
• Collaboration
• Oral Communications
• Strong communication and analytical skills
• Excellent organizational skills
• Ability to work independently
• Shows dedication to getting the job done accurately and efficiently.
• Demonstrating sound and consistent supervisory judgment based on thorough and systematic review of information available
• Makes timely, risk-based decisions and acts decisively.
• Maintaining positive outlook, receptivity to constructive feedback, and flexibility to accommodate changing processes, policies, and regulations

Licenses required : Series 7, 63, 65, 9 / 10 or equivalent

Minimum Education Requirement : Bachelor's Degree (or equivalent work experience) required

Shift :

1st shift (United States of America)

Hours Per Week :