Regulatory & Risk Supervision Manager

Bank Of America; Pennington (AL); On-site; USD 88,000 - 104,000; Full time

Job summary

Bank of America is seeking an Onboarding & Managed Product Supervision Manager to ensure regulatory compliance and corporate mandates across CI Self-Directed activities. The role supervises front-line units to limit risk and aligns with Firm policies.

Responsibilities include partnering with leadership, reviewing activities, coaching advisors, and driving process improvements while maintaining strong supervisory standards and collaboration across lines of business.

Qualifications

• Bachelor's Degree or equivalent work experience.
• FINRA licenses required (7, 8/9/10, 63/65 or 66 or combinations) at hire.
• Proven ability to manage risk and ensure regulatory compliance.
• Strong ability to coach advisors to align solutions with client goals.

Responsibilities

• Partner with CICS RM leadership to communicate trends and resolve escalations.
• Review and approve activities for suitability in the Self-Directed space.
• Reference policy and procedures to assist associates with questions.
• Provide backup coverage when peers are out or capacity is reached.
• Demonstrate organization in completing day-to-day responsibilities.
• Maintain a positive attitude and commitment to supervision across tasks.
• Collaborate with other lines of business on questions and requests.
• Escalate trends identified in reviews and coordinate with peers to resolve.
• Lead initiatives and process-improvement opportunities.
• Assist with training, coaching, and preparation/approval of associates.

Skills

Attention to Detail

Continuous Improvement

Controls Management

Risk Management

Fraud Management

Issue Management

Monitoring, Surveillance, and Testing

Policies, Procedures, and Guidelines

Regulatory Relations

Active Listening

Decision Making

Due Diligence

Leadership Development

Oral Communications

Education

Bachelor's Degree or equivalent

High School Diploma / GED / Secondary School or equivalent

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Job description

Bank of America is seeking an Onboarding & Managed Product Supervision Manager to ensure regulatory compliance and corporate mandates across CI Self-Directed activities. The role supervises front-line units to limit risk and aligns with Firm policies.

Responsibilities include partnering with leadership, reviewing activities, coaching advisors, and driving process improvements while maintaining strong supervisory standards and collaboration across lines of business.