Client Accounts Supervisor — Risk & Compliance (Hybrid)

Bank of America; South Dakota; Hybrid; USD 88,000 - 104,000; Full time

Job summary

Bank of America is seeking a supervisor to oversee client account activities, monitoring administrative, sales, and trading tasks performed by registered employees in call centers or financial centers. The position focuses on limiting risk and financial exposure for the business unit and the bank, while promoting an effective front-line operation.

Qualifications include 2 years in the industry and active FINRA licenses (7/8/9/10 or 63/65/66) or a combination of licenses (4,24,53).

Qualifications

• 2 years industry experience.
• Active FINRA Series 7, 8 or 9/10, 63/65 or 66 licenses to be considered; in lieu of 8/9/10 we could consider holding 4, 24, and 53 licenses.
• Familiarity with compliance and regulatory issues.
• Proficient in Microsoft Office applications.
• Merrill Edge, Merrill Lynch, or Operations experience preferred.

Responsibilities

• Supervises client account activities by monitoring administrative, sales, and trading tasks performed by registered employees.
• Oversees 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 to handle and resolve complaints.

Skills

Attention to Detail

Controls Management

Issue Management

Monitoring, Surveillance, and Testing

Policies, Procedures, and Guidelines

Regulatory Relations

Decision Making

Leadership Development

Oral Communications

Education

High School Diploma / GED / Secondary School or equivalent

Tools

Microsoft Office

Job description

Bank of America is seeking a supervisor to oversee client account activities, monitoring administrative, sales, and trading tasks performed by registered employees in call centers or financial centers. The position focuses on limiting risk and financial exposure for the business unit and the bank, while promoting an effective front-line operation.

Qualifications include 2 years in the industry and active FINRA licenses (7/8/9/10 or 63/65/66) or a combination of licenses (4,24,53).