Supervision Manager

Bank of America Supervision Manager Lincoln , Rhode Island Apply Now

Job Description :

Apply fast, check the full description by scrolling below to find out the full requirements for this role.

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!

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 andprocedures.

Enterprise Job Description :

This job is responsible for supervising client account activities by monitoring administrative, sales, and trading tasks performed by registered employees.

Key responsibilities include limiting risk and financial exposure to the business unit and the bank for registered employees located in call centers or financial centers.

Job expectations include overseeing day-to-day front line supervision, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, trade correction, and complaint resolution.

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 :

Prefer candidates holding FINRA Series 7, 8 or 9 / 10, 63 / 65 or 66 (in lieu of the 8 or 9 / 10 we could consider candidates holding all of the following licenses : 4 and 24 and 53)

Would consider candidates with only the Series 7 and 63 / 65 or 66; however candidate must be willing to obtain remaining licenses within a specified timeframe

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 Operationsexperience

Skills : Attention to Detail

Attention to Detail

Controls Management

Issue Management

Monitoring, Surveillance, and Testing

Policies, Procedures, and Guidelines Management

Regulatory Relations

Decision Making

Leadership Development

Oral Communications

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

Shift :

1st shift (United States of America)

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) .

View the LA County Fair Chance Ordinance .

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 .

This communication provides information about certain Bank of America benefits. Receipt of this document does not automatically entitle you to benefits offered by Bank of America.

Every effort has been made to ensure the accuracy of this communication. However, if there are discrepancies between this communication and the official plan documents, the plan documents will always govern.

Bank of America retains the discretion to interpret the terms or language used in any of its communications according to the provisions contained in the plan documents.

Bank of America also reserves the right to amend or terminate any benefit plan in its sole discretion at any time for any reason.

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