Supervision Manager

Bank of America•Woodbridge Township, NJ

2d•$88,000 - $103,600•Onsite

About The Position

At Bank of America, the Supervision Manager (SM) executes key supervisory functions supporting regulatory compliance, risk mitigation, and the firm’s supervisory framework for registered employee activities. The role performs reviews, approvals, and oversight to identify, assess, and escalate potential risks while ensuring adherence to internal policies and regulatory requirements. The position oversees employee email communications and personal securities accounts; reviews Outside Business Activity disclosures and investment transactions; supports internal audits, regulatory examinations, and compliance initiatives; oversees registration and licensing; and reviews, escalates, and documents written electronic communications. It also supports employee training, coaching, and supervisory process improvements. The Supervision Manager partners with Compliance, Risk, Audit, business leaders, and other stakeholders to address emerging risks, strengthen controls, and maintain compliance with regulatory and firm standards. This role is based at one of the listed Bank of America locations in Boston, Massachusetts; Iselin, New Jersey; or Pennington, New Jersey. It is a first-shift role with 40 hours per week. The annualized pay range is $88,000 to $103,600, with offers determined by experience, education, and skill set. The role is eligible for an annual discretionary incentive plan and benefits, including paid time off.

Requirements

Active FINRA Series 7, 9/10, and 63/65 or 66 licenses; candidates with active Series 4, 24, and 53 licenses may be considered in lieu of Series 9/10.
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, and accountability, with the 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 securities regulations, compliance requirements, and supervisory practices.
Advanced proficiency in Microsoft Excel, PowerPoint, and Microsoft Copilot, including analyzing data, identifying trends, and developing executive-level reports and presentations.
High school diploma, GED, secondary school credential, or equivalent.
Ability to work independently and collaborate effectively with peers, business partners, and management.

Nice To Haves

Experience preparing executive summaries, leadership presentations, and management reports 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 approval functions for assigned processes, including evaluation, decision-making, escalation, and resolution in accordance with firm policies and regulatory requirements.
Oversee employee email communications, personal securities accounts, Outside Business Activity disclosures, investment transactions, written electronic communications, and registration and licensing activities.
Complete, document, escalate, and remediate supervisory reviews, tasks, and identified issues in a timely manner.
Identify emerging risks, trends, control gaps, and supervisory concerns; escalate matters and recommend risk-mitigation solutions.
Evaluate workflows and lead the development and implementation of process enhancements that 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, business stakeholders, and other teams to support regulatory examinations, internal reviews, and supervisory initiatives.
Support employee training, coaching, and improvements to supervisory processes.
Contribute to a culture of risk management, accountability, continuous improvement, and regulatory compliance.
Support internal audits, regulatory examinations, and compliance initiatives.