Senior Supervision Manager

Bank of America • Lake Oswego, OR

1d • Onsite

About The Position

The Senior Supervision Manager operates as a liaison to senior leadership for day to day responsibilities of the team having demonstrated strong performance, leadership and a thorough understanding and expertise for the responsibilities of the role.

Requirements

• Bachelor’s Degree or equivalent work experience
• Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
• Familiarity with compliance and regulatory issues
• Strong auditing background with willingness to travel.
• Strong leadership abilities, communication and delegation skills
• Familiarity with Microsoft Word, Excel, and PowerPoint
• 2 -year experience minimum in Consumer Investment Field Supervision
• Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, and policies/procedures.
• Strong time management and organization skills with the ability to prioritize appropriately.
• Proven ability to build and retain strong interpersonal relationships.
• Ability to identify client needs and concerns, and coach advisors on aligning solutions to goals in a suitable and controlled way
• Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk.

Nice To Haves

• Familiarity with compliance and regulatory issues
• Strong auditing background with willingness to travel
• Strong leadership abilities, communication, and delegation skills
• Proficiency with Microsoft OneNote, Word, Excel, and PowerPoint
• Demonstrated strong and effective leadership style through clear communication and collaboration with other partners to make sound decisions with courage and conviction.

Responsibilities

• Perform all activities associated with the Supervision Manager role in addition to the coordination of the day-to-day activities including, but not limited to, control and audit remediation, mock audits of books and records, onboarding of registered associates and communication & tracking of key performance objectives.
• Responsible for day-to-day front-line supervision, including mandated supervisory reviews and enterprise alerts, trade, solution & enrollment review, trade correction, and complaint resolution.
• Additional responsibilities include development of advisor proficiency through supplemental training, active coaching & remediation of policy and procedure violations.

Benefits

• Access to paid time off
• Resources and support to our employees
• Discretionary incentive eligible
• Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: High school or GED