Senior Supervision Manager

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:
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.

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.

Required Qualifications:

• 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
• 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.
• 2-year experience minimum in Consumer Investment Field Supervision
• Demonstrated strong and effective leadership style through clear communication and collaboration with other partners to make sound decisions with courage and conviction.

Desired Qualifications:

• 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

Skills:

• Attention to Detail
• Continuous Improvement
• Controls Management
• Risk Management
• Fraud Management
• Issue Management
• Monitoring, Surveillance, and Testing
• Oral Communications
• Regulatory Relations
• Active Listening
• Decision Making
• Due Diligence
• Leadership Development
• 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 - NJ - Pennington - 1300 American Blvd - Hopewell Bldg 3 (NJ2130)

Pay and benefits information

Pay range

$93,600.00 - $121,600.00 annualized salary, offers to be determined based on experience, education and skill set.

Discretionary incentive eligible

This 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.

Benefits

This 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.