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Business Oversight Specialist

2 months ago

Charlotte, United States Bank of America Full time
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 Business Oversight Specialist role is part of the Merrill Lynch Wealth Management COO team and will focus on assisting in the resolution of Merrill broker-dealer customer-related inquires and complaints. The ideal candidate for this role should be able to operate in a fast-paced work environment and with the ability to multitask. Attention to details and accuracy are essential in order to be successful in this position. The candidate will also be able to build relationships and have the ability to work collaboratively across the organization, including with senior leaders.

Key Responsibilities:
  • Assist in the research, resolution and settlement of Merrill broker-dealer complaints which may involve consultation and coordination with the Legal Department, Operations, Finance, the Line of Business Supervisors & Registered Representatives, Insurance Carriers and Executive Management as well as clients, attorneys, and regulators.
  • Path for escalation for broker-dealer complaints sent to executive leaders.
  • Learn and effectively communicate about a wide variety of products and services.
  • Responsible for the management and validation of complaint records, files, documents, and data.
  • Ensure regulatory filings (U4/U5 and 4530) associated with Complaint management are made quickly and accurately.
  • Develop and manage relationships across the Enterprise and with a wide variety of partners based on trust, teamwork, and knowledge.
  • Perform additional functions to support the priorities aligned to risk mitigation.
Required Skills:
  • 5+ years of retail brokerage, compliance, legal and/or supervisory experience within a brokerage branch office or financial space.
  • Strong Wealth Management Product knowledge including Life Insurance and Alternative Investments and Annuities
  • Familiarity with handling brokerage customer complaints and the regulatory reporting required in the same.
  • Shows commitment to excellent attendance with proven reliability and can adhere to the agreed upon work schedule
  • Strong analytical ability and organizational skills with ability to demonstrate sound judgment and act with speed.
  • Highly organized, detail oriented and self-motivated with ability to investigate and resolve complex problems.
  • Ability to prioritize issues and handle confidential matters and sensitive information in a responsible manner and timely fashion
  • Strong communications skills, great grammar, and the ability to communicate with management, peers, and client
  • Ability to learn and adapt to new information and technology platforms
  • Minimum of an intermediate level of proficiency with computers and current technology including MS Office Suite
Desired Skills:
  • FINRA Securities Industry Essentials (SIE), Series 7, Series 66, Series 9, Series 10 and Series 24 registrations
  • Variable Annuity Insurance licensing, JD or Equivalents a plus
Skills:
  • Interpret Relevant Laws, Rules, and Regulations
  • Issue Management
  • Data Quality Management
  • Due Diligence
  • Legal Drafting and Writing
  • Research
  • Written Communications
  • Claims Management
  • Decision Making
  • Executive Presence
  • Policies, Procedures, and Guidelines Management
  • Regulatory Relations


Shift:
1st shift (United States of America)

Hours Per Week:
40