Supervision Manager

Bank of America•Iselin, NJ

18h•Onsite

About The Position

At Bank of America, the Supervision Manager (SM) executes key supervisory functions that support regulatory compliance, risk mitigation, and the firm’s supervisory framework for registered employee activities. The role performs critical reviews, approvals, and oversight to identify, assess, and escalate potential risks while ensuring adherence to internal policies and regulatory requirements. The manager oversees employee email communications and personal securities accounts; reviews and approves Outside Business Activity (OBA) disclosures; conducts investment transaction surveillance and supervisory reviews; and supports internal audits, regulatory examinations, and compliance initiatives. The role also oversees registration and licensing, reviews and documents written electronic communications, and contributes to employee training, coaching, and supervisory process improvements. The Supervision Manager partners with Compliance, Risk, Audit, business leaders, and other stakeholders to strengthen controls and manage risk. The role identifies emerging risks, trends, control gaps, and supervisory concerns; documents and escalates issues; and leads workflow enhancements that improve efficiency and the accuracy and timeliness of operational activities. Bank of America describes its workplace approach as committed to an in-office culture, with flexibility based on role-specific responsibilities and business needs.

Requirements

Active FINRA Series 7, 9/10, and 63/65 or 66 licenses; in lieu of Series 9/10, candidates may be considered with active Series 4, 24, and 53 licenses.
Demonstrated leadership, relationship management, and communication skills, including the ability to influence and collaborate across business functions.
Ability to build effective partnerships with Business, Compliance, Legal, Risk, and Operations teams.
Strong analytical, critical-thinking, and decision-making skills, including risk assessment, sound judgment, and appropriate escalation.
Professionalism, integrity, accountability, and ability to work effectively in a fast-paced and evolving environment.
Strong client-service orientation and commitment to quality outcomes.
Experience conducting supervisory reviews, investigations, regulatory reviews, or complaint resolution within a broker-dealer, wealth-management, or consumer-investments environment.
Working knowledge of applicable securities regulations, compliance requirements, and supervisory practices.
Advanced proficiency in Microsoft Excel, PowerPoint, and Microsoft Copilot, including data analysis, trend identification, and development of executive-level reporting and presentations.
High school diploma, GED, secondary school education, or equivalent.

Nice To Haves

Experience preparing executive summaries, leadership presentations, and management reporting for senior business, risk, compliance, and regulatory stakeholders.
Experience performing data analysis, trend analysis, root-cause analysis, and risk identification to support supervisory and business decision-making.
Advanced critical-thinking and problem-solving capabilities, including assessing complex facts, making risk-based decisions, and providing sound recommendations.

Responsibilities

Perform supervisory reviews and approvals for assigned processes, applying firm policies, procedures, and applicable regulatory requirements.
Review, evaluate, make decisions about, escalate, and resolve activities within the assigned area of oversight.
Complete, document, escalate, and remediate supervisory reviews, tasks, and identified issues in accordance with firm standards and regulatory expectations.
Identify emerging risks, trends, control gaps, and supervisory concerns, escalate matters appropriately, and recommend risk-mitigation solutions.
Evaluate workflows and lead the development and implementation of process enhancements to improve efficiency, controls, accuracy, and timeliness.
Maintain accurate and complete records in databases, case-management systems, and other recordkeeping applications.
Partner with Compliance, Risk, Audit, and business stakeholders on regulatory examinations, internal reviews, and supervisory initiatives.
Support regulatory compliance and risk mitigation through oversight of registered employee activities.
Oversee employee email communications and personal securities accounts.
Review and approve Outside Business Activity disclosures.
Conduct investment transaction surveillance and supervisory reviews.
Support internal audits, regulatory examinations, and compliance initiatives.
Oversee registration and licensing.
Review, escalate, and document written electronic communications.
Contribute to employee training, coaching, and supervisory process improvements.
Promote risk management, accountability, continuous improvement, and regulatory compliance through effective oversight, communication, and execution.