Senior Supervision Manager

Bank of America•Los Angeles, CA

2d•Onsite

About The Position

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve. Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us! 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.