Regulatory Supervision Manager – Risk & Compliance

Socket.dev; Sidney (NE); On-site; USD 88,000 - 104,000; Full time

Job summary

Bank of America is seeking a Supervision Manager for the CI Self-Directed space within Merrill. The role focuses on regulatory compliance and firm mandates for administrative and operational activities, supervising front-line units to adhere to policies and procedures.

Responsibilities include escalations, policy reference, and cross-team collaboration. The candidate should hold FINRA licenses or equivalents, with strong risk management, decision-making, and analytical skills.

Qualifications

• Bachelor's Degree or equivalent work experience
• Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 (or equivalent licenses: 4, 24, 53)
• Proven ability to manage risk and make sound decisions
• Ability to identify client needs and coach advisors on solutions
• Strong analytical skills to identify client needs and coach advisors
• Identifies emerging risks and trends in processes
• Familiarity with Microsoft Word, Excel, and PowerPoint

Responsibilities

• Partner with CICS&RM leadership to communicate trends and resolve escalations
• Review and approve activities within Self-Direct space
• Reference policy or procedures to assist associates with questions
• Provide backup coverage when peers are out
• Demonstrate organization in day-to-day responsibilities
• Maintain a positive attitude and commitment to excel in supervision
• Assist with training, coaching, and preparation/approval of associates and resources
• Join or lead initiatives and process improvement opportunities

Skills

Attention to Detail

Risk Management

Regulatory Relations

Decision Making

Leadership Development

Oral Communications

Analytical Thinking

Education

Bachelor's Degree or equivalent work experience

High School Diploma / GED / Secondary School or equivalent

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Job description

Bank of America is seeking a Supervision Manager for the CI Self-Directed space within Merrill. The role focuses on regulatory compliance and firm mandates for administrative and operational activities, supervising front-line units to adhere to policies and procedures.

Responsibilities include escalations, policy reference, and cross-team collaboration. The candidate should hold FINRA licenses or equivalents, with strong risk management, decision-making, and analytical skills.