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Supervision Manager - DFW

Fort Worth, Texas

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. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We’re devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being. Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization. Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us!

The Supervision Manager position will serve to ensure regulatory compliance and corporate mandates for all administrative and operational activities performed in the Merrill Edge. Merrill Edge is a telephone-based platform that provides mass affluent clients with holistic financial advice and deepens client relationships by identifying broader product and service solutions to meet their investment, savings and credit needs. A predominant objective of the position is to limit risk and financial exposure to the business unit and the Firm and supervise the sales units’ overall adherence to Firm policies and procedures.  

Responsibilities:

• Ensures employees comply with policies, procedures, and regulations to limit risk and financial exposure to the business and the firm

• Creates and oversees team workflow, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, and trade correction for consumer investments

• Monitors employees in call centers or financial centers ability to handle and resolve complaints

Required Qualifications:

• FINRA Series 7, 8 or 9/10, 66 or 63/65

• In lieu of the 8 or 9/10 we could consider candidates holding all the following licenses: (4 and 24 and 53)

• Strong Leadership and Communication skills

• Able to foster collaborative relationships within and across business units

• Demonstrate integrity and remains calm under pressure

• Familiarity with compliance and regulatory issues

• Proficient in Microsoft Office applications

• Merrill Edge, Merrill Lynch, or Operations experience

Additional Skills Used:

• Attention to Detail

• Continuous Improvement

• Controls Management

• Risk Management

• Fraud Management

• Issue Management

• Monitoring, Surveillance, and Testing

• Policies, Procedures, and Guidelines Management

• Regulatory Relations

• Active Listening

• Decision Making

• Due Diligence

• Leadership Development

• Oral Communications

Shift:

1st shift (United States of America)

Hours Per Week:

40

Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our teammates.

To view the "EEO is the Law" poster, CLICK HERE (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/eeopost.pdf) .

To view the "EEO is the Law" Supplement, CLICK HERE (https://www.dol.gov/ofccp/regs/compliance/posters/pdf/OFCCP_EEO_Supplement_Final_JRF_QA_508c.pdf) .

Bank of America aims to create a workplace free from the dangers and resulting consequences of illegal and illicit drug use and alcohol abuse. Our Drug-Free Workplace and Alcohol Policy (“Policy”) establishes requirements to prevent the presence or use of illegal or illicit drugs or unauthorized alcohol on Bank of America premises and to provide a safe work environment.

To view Bank of America’s Drug-free workplace and alcohol policy, CLICK HERE .