Senior Supervisor, Regulatory Oversight & Risk

Bank of America; South Dakota; On-site; USD 87,000 - 96,000; Full time

Benefits offered by this job

Benefits eligible

Job summary

Bank of America is seeking a supervisory reviews professional to oversee registered employee activities across email, disclosures, and investment reviews within our enterprise operations. You will identify risks, ensure compliance, and support ongoing training and process improvement.

The role requires FINRA licenses (7/66, with 9/10 possible), strong client service, governance knowledge, and collaboration with partners.

Qualifications

• FINRA Series 7 and 66 required to be considered.
• FINRA Series 9 and 10; must be willing to obtain within 120 days
• Strong client service skills
• Strong communication, time management and organizational skills
• Strong leadership and willingness to collaborate with partners
• Knowledge of and/or experience in Investments and/or Operations
• Familiarity with compliance and regulatory issues

Responsibilities

• The role focuses on specific processes and requires knowledge of Firm policies, Firm procedures and regulatory requirements that govern the process. Duties include review, decisioning, escalation and resolution of activities related to the process
• Must be able to work independently, as well as interdependently with peers and management
• Timely review, action, documentation and remediation for supervisory reviews and tasks
• Develops and implements new processes and procedures to improve operating efficiency and ensure timeliness and accuracy of workflow
• Identifies emerging risks and trends in processes and escalates appropriately
• Updates databases and other recordkeeping applications with appropriate information as required

Skills

Continuous Improvement

Controls Management

Decision Making

Issue Management

Oral Communications

Attention to Detail

Due Diligence

Fraud Management

Regulatory Relations

Risk Management

Active Listening

Leadership Development

Monitoring, Surveillance, and Testing

Policies, Procedures, and Guidelines

Education

High School Diploma / GED / Secondary School or equivalent

Bachelor's Degree in related field or equivalent work experience

Tools

Wealth Management tool

FINRA compliance tools

Job description

Bank of America is seeking a supervisory reviews professional to oversee registered employee activities across email, disclosures, and investment reviews within our enterprise operations. You will identify risks, ensure compliance, and support ongoing training and process improvement.

The role requires FINRA licenses (7/66, with 9/10 possible), strong client service, governance knowledge, and collaboration with partners.