Regulatory Risk Leader — Compliance & Controls

Bank of America; Jacksonville (FL); On-site; USD 120,000 - 180,000; Full time

Job summary

Bank of America in Jacksonville, FL is seeking a Regulatory Risk & Compliance Lead to oversee critical regulatory programs, licensing activities, and investment monitoring. You will partner with Compliance, Risk, HR, Technology, Audit, and Control teams to strengthen the control environment and ensure regulatory obligations are met.

The role requires guiding governance, risk identification, issue management, and reporting across business and support functions, with a focus on continuous QA

Qualifications

• 7+ years of experience in Compliance, Risk Management, or related financial services disciplines.
• Strong understanding of securities regulations (FINRA) and regulatory control frameworks.
• Experience leading regulatory reviews, audits, or remediation efforts.

Responsibilities

• Lead oversight of regulatory compliance programs including FINRA, registration, licensing, and employee trading.
• Oversee Associate Investment Monitoring and disclosure programs.
• Provide governance over registration/licensing requirements and risk controls.
• Execute centralized controls to ensure policy compliance and regulatory commitments.
• Collaborate with Compliance, Risk, Audit, HR, Technology and Front Line Units.
• Monitor and test controls; drive QA improvements for business continuity.
• Support regulatory exams, internal audits, and inspection reviews with data analyses.

Skills

Regulatory Compliance

Risk Governance

Stakeholder Management

Quality Assurance

Data Analysis

Written Communication

Job description

Bank of America in Jacksonville, FL is seeking a Regulatory Risk & Compliance Lead to oversee critical regulatory programs, licensing activities, and investment monitoring. You will partner with Compliance, Risk, HR, Technology, Audit, and Control teams to strengthen the control environment and ensure regulatory obligations are met.

The role requires guiding governance, risk identification, issue management, and reporting across business and support functions, with a focus on continuous QA