About this opportunity
Bank of America lists this Operations Supervision opportunity in pennington, Alabama. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Job Description:
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 impact 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!
Enterprise Job Description:
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.
Responsibilities:
The role focuses on specific processes and requires knowledge of Firm policies, Firm procedures and regulatory requirements that govern the process. Duties include review, decisioning, escalation and resolution of activities related to the process
Must be able to 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
Skills:
Continuous Improvement
Controls Management
Decision Making
Issue Management
Oral Communications
Attention to Detail
Due Diligence
Fraud Management
Regulatory Relations
Risk Management
Active Listening
Leadership Development
Monitoring, Surveillance, and Testing
Policies, Procedures, and Guidelines Management
Required Qualifications:
FINRA Series 7 and 66 required to be considered
FINRA Series 9 and 10; must be willing to obtain within 120 days
Strong client service skills
Strong communication, time management and organizational skills
Strong leadership and willingness to collaborate with partners
Knowledge of and/or experience in Investments and/or Operations
Familiarity with compliance and regulatory issues
Desired Qualifications:
Prior knowledge of registration process, financial products, policies and procedures are highly preferred
Bachelor’s Degree in related field or equivalent work experience
Knowledge of Wealth Management tool
Skills:
Continuous Improvement
Controls Management
Decision Making
Issue Management
Oral Communications
Attention to Detail
Due Diligence
Fraud Management
Regulatory Relations
Risk Management
Active Listening
Leadership Development
Monitoring, Surveillance, and Testing
Policies, Procedures, and Guidelines Management
Minimum Education Requirement:
High School Diploma / GED / Secondary School or equivalent
Shift:
1st shift (United States of America)
Hours Per Week:
40
Pay Transparency details
US - MA - Boston - 100 Federal St - 100 Federal St Lp (MA5100), US - MD - Hunt Valley - 11333 MCCORMICK RD - HUNT VALLEY (MD5031), US - NJ - Pennington - 1400 American Blvd - Hopewell Bldg 4 (NJ2140), US - RI - Lincoln - 670 George Washington Hwy (RI1541)Pay and benefits informationPay range$86,800.00 - $95,800.00 annualized salary, offers to be determined based on experience, education and skill set.Discretionary incentive eligibleThis role is eligible to participate in the annual discretionary plan. 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.BenefitsThis role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.