Supervision Principal

Bank of America•Boston, MA

11d•$86,800 - $95,800•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 and providing a culture of caring is core to how we drive Responsible Growth. We are intentional about fostering an inclusive workplace where every teammate has the opportunity to succeed, build a career and contribute to our shared success. This includes attracting and developing exceptional talent, recognizing and rewarding performance, and supporting our teammates’ physical, emotional, and financial wellness through affordable, competitive and flexible benefits. We value the unique perspectives individuals bring from all backgrounds and career paths - whether shaped by military service, community college education, or a wide range of work and life experiences. These journeys foster resilience, leadership and innovation, strengthening our workforce and positively impacts the communities we serve. Bank of America is committed to an in-office culture that supports collaboration, engagement, and career development. Our approach includes clear in-office expectations, while providing an appropriate level of flexibility based on role-specific responsibilities and business needs. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us! The Supervision Principal (SP) is responsible for conducting defined supervisory reviews and approvals related to registered employee activities. Key areas of oversight include: Email and personal brokerage activity, Outside business activity disclosures, Investment transaction reviews, Audit and compliance support, Registration and licensing, Written electronic communication review and escalation, Enhanced Monitoring and Heightened Supervision administration, Employee training and process improvement. A critical part of the role involves identifying and escalating emerging risks and trends to ensure proactive supervision and regulatory compliance.

Requirements

Active FINRA Series 7, 9/10, and 63/65 or 66
In lieu of Series 8 or 9/10, candidates may be considered if holding Series 4, 24, and 53
Demonstrated leadership, relationship management, and communication skills, including the ability to influence stakeholders across multiple lines of business.
Proven ability to build and maintain collaborative partnerships with business, compliance, legal, risk, and operational teams.
Strong analytical and decision-making skills with the ability to assess complex situations, exercise sound judgment, and appropriately escalate risks.
High degree of professionalism, integrity, and accountability, with the ability to remain calm and effective under pressure.
Strong client service skills
Experience conducting investigations, resolving customer complaints, or performing supervisory reviews within a broker-dealer, wealth management, or consumer investments environment.
Familiarity with compliance and regulatory issues
Advanced proficiency in Microsoft Excel, PowerPoint, and Microsoft Copilot, with the ability to analyze data, identify trends, and develop executive-level presentations and reporting.

Nice To Haves

Prior knowledge of registration process, financial products, policies and procedures are highly preferred
Bachelor’s Degree in related field or equivalent work experience

Responsibilities

Conducting defined supervisory reviews and approvals related to registered employee activities.
Oversight of Email and personal brokerage activity.
Oversight of Outside business activity disclosures.
Oversight of Investment transaction reviews.
Audit and compliance support.
Oversight of Registration and licensing.
Written electronic communication review and escalation.
Enhanced Monitoring and Heightened Supervision administration.
Employee training and process improvement.
Identifying and escalating emerging risks and trends to ensure proactive supervision and regulatory compliance.
Review, decisioning, escalation and resolution of activities related to the process.
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.