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Compliance Supervision Manager

2 months ago

Rolling Meadows, Illinois, United States Bank of America Full time
Job Description:

At Bank of America, we are driven by a unified mission to enhance financial well-being through every connection we foster. Responsible Growth is our guiding principle, shaping how we operate and serve our clients, colleagues, communities, and shareholders daily. A cornerstone of achieving Responsible Growth is cultivating an exceptional workplace for our employees globally. We are committed to creating a diverse and inclusive environment for all. We seek individuals with a wide array of backgrounds and experiences, investing significantly in our employees and their families by providing competitive benefits that support their physical, emotional, and financial health. Bank of America values collaboration while also offering flexibility tailored to various roles within our organization. A career with us presents opportunities for learning, growth, and making a meaningful impact.

The Compliance Supervision Manager role is pivotal in ensuring adherence to regulatory standards and corporate directives for all operational and administrative functions within Merrill Edge. Merrill Edge is a telephonic platform that offers comprehensive financial guidance to mass affluent clients, enhancing client relationships by identifying broader product and service solutions to address their investment, savings, and credit requirements. A primary goal of this position is to mitigate risk and financial exposure for the business unit and the Firm while overseeing the sales units' compliance with Firm policies and procedures.

This position specifically supports the CI Supervision At-Risk Persons Team, tasked with identifying, managing, resolving, and reporting all situations related to At Risk Persons for all CI clients/accounts. Daily responsibilities include engaging in coaching discussions with the Front Line Units (FLU), reaching out to clients and associated parties to collect information regarding At Risk situations, and maintaining essential partnerships with internal fraud, GFC, legal, and compliance teams to ensure effective resolution of each case. Qualified candidates should exhibit a high degree of organizational skills and problem-solving capabilities necessary for navigating these complex and sensitive scenarios.

Required Qualifications:
  • FINRA Series 7, 9/10, 63/65 or 66 (consideration may be given to candidates holding Series 4 and 24 and 53 in lieu of the 9/10)
  • Candidates with only Series 7 and 63/65 or 66 will be considered, provided they are willing to obtain remaining licenses within 120 days
  • Strong Leadership and Communication abilities
  • Ability to cultivate collaborative relationships across business units
  • Demonstrate integrity and maintain composure under pressure
  • Familiarity with compliance and regulatory frameworks
  • Proficient in Microsoft Office Suite
  • Experience with Merrill Edge, Merrill Lynch, or Operations
Enterprise Job Description:
This role is responsible for overseeing client account activities by monitoring administrative, sales, and trading operations conducted by registered employees. Key responsibilities include minimizing risk and financial exposure for the business unit and the bank for registered employees in call centers or financial centers. Job expectations encompass supervising daily front-line operations, including mandated supervisory reviews and enterprise alerts, trade solutions and enrollment reviews, trade corrections, and complaint resolutions.

Responsibilities:
  • Ensures compliance with policies, procedures, and regulations to limit risk and financial exposure to the business and the firm
  • Develops and manages team workflows, including mandated supervisory reviews and enterprise alerts, trade solutions and enrollment reviews, and trade corrections for consumer investments
  • Monitors the ability of employees in call centers or financial centers to handle and resolve client complaints
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
Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent

Shift:
1st shift (United States of America)

Hours Per Week:
40