New Accounts Supervision Principal – Supervision Principal II

Bank of America

. Perform regulatory-mandated supervision of new accounts submitted by Merrill Financial Advisors .

Posted 10/16/2026full-timePennington • New Jersey • United StatesLead💰 $74,900 - $91,600 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates strong regulatory compliance expertise with a focus on FINRA, AML, and KYC regulations, alongside effective communication and relationship-building skills. Capable of making timely, risk-based decisions while maintaining a detail-oriented approach to supervisory processes.

Highest-signal resume keywords

Series 7 LicenseRegulatory ComplianceRisk ManagementDecision MakingRelationship Building

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory PoliciesBusiness Process AnalysisAnalytical SkillsProblem SolvingTime Management

Soft Skills

Communication SkillsDetail OrientedAdaptabilityCollaborationProfessionalism

Certifications & Qualifications

Series 8 or 9/10Series 63Series 65 or 66

Industry Keywords

FINRAAMLKYCNew AccountsBranch Office

About the role

Key responsibilities & impact

Perform regulatory-mandated supervision of new accounts submitted by Merrill Financial Advisors
Work closely with key business partners, including local Market Office Management Teams
Establish and maintain positive working relationships to ensure business is conducted within Firm and industry guidelines
Communicate effectively in written and oral formats
Produce regular commentary on concerns, ongoing issues, and recurring patterns
Proactively anticipate and identify concerns and issues
Demonstrate sound supervisory judgment through thorough and systematic information review
Make timely, risk-based decisions and act decisively
Review, decision, escalate, and resolve activities related to assigned supervision processes
Ensure compliance with FINRA, AML, and KYC rules and regulations
Work independently and interdependently with peers and field management

Requirements

What you’ll need

Series 7 License
2 year minimum industry experience
Strong technical, analytical and communication skills
Detail oriented and strong time management and organizational skills
Ability to work independently
Actively promotes and exhibits behaviors in a professional manner
Series 8 or 9/10, 63 and 65 or 66 — if not already licensed, must be obtained within an acceptable timeframe
Branch office and New Accounts experience or exposure
Working knowledge of regulatory policies and specifically ML policies/procedures
Interpret Relevant Laws, Rules, and Regulations
Prioritization
Problem Solving
Relationship Building
Risk Management
Decision Making
Adaptability
Business Process Analysis
Collaboration
Bachelor’s Degree (or equivalent work experience)
High School Diploma / GED / Secondary School or equivalent
Ability to work onsite in accordance with workplace excellence policy
Ability to work 1st shift, 40 hours per week

Benefits

Comp & perks

Annual discretionary incentive plan eligibility
Industry-leading benefits
Paid time off
Resources and support to employees