Principal Supervisor

Bank of America

. Conduct defined supervisory reviews and approvals related to registered employee activities .

Posted 10/14/2026full-timeUnited StatesLead💰 $86,800 - $95,800 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance and regulatory issues, with a strong focus on investment transaction reviews and employee training. Proficient in managing registration and licensing activities while ensuring operational efficiency and risk identification.

Highest-signal resume keywords

FINRA Series 7FINRA Series 66Investment Transaction ReviewCompliance SupportClient Service Skills

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Investment Transaction ReviewRegistration Process KnowledgeProcess ImprovementDatabase ManagementAudit Support

Soft Skills

Strong Communication SkillsTime Management SkillsOrganizational SkillsLeadership SkillsCollaboration Skills

Tools & Technologies

Wealth Management ToolRecordkeeping Applications

Certifications & Qualifications

FINRA Series 7FINRA Series 66FINRA Series 9FINRA Series 10

Industry Keywords

ComplianceRegulatory IssuesEmployee TrainingFinancial ProductsOperations

About the role

Key responsibilities & impact

Conduct defined supervisory reviews and approvals related to registered employee activities
Review email and personal brokerage activity
Review outside business activity disclosures
Conduct investment transaction reviews
Provide audit and compliance support
Manage registration and licensing activities
Review and escalate written electronic communications
Administer Enhanced Monitoring and Heightened Supervision
Support employee training and process improvement
Identify and escalate emerging risks and trends
Review, decide, escalate, resolve, document, and remediate process-related activities
Develop and implement processes and procedures to improve operating efficiency and workflow timeliness and accuracy
Update databases and recordkeeping applications
Work independently and collaboratively with peers and management

Requirements

What you’ll need

FINRA Series 7 and 66 required to be considered
FINRA Series 9 and 10; must be willing to obtain within 120 days
Strong client service skills
Strong communication, time management and organizational skills
Strong leadership and willingness to collaborate with partners
Knowledge of and/or experience in Investments and/or Operations
Familiarity with compliance and regulatory issues
Prior knowledge of registration process, financial products, policies and procedures highly preferred
Bachelor’s Degree in related field or equivalent work experience
Knowledge of Wealth Management tool
Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent
Ability to work 40 hours per week on 1st shift

Benefits

Comp & perks

Discretionary incentive eligible; eligible to participate in the annual discretionary plan
Benefits eligible
Paid time off
Resources and support for employees
In-office culture supporting collaboration, engagement, and career development
Opportunities to learn, grow, and make an impact