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.
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
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 :
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