Supervision Manager

Bank of America

. Execute key supervisory functions supporting regulatory compliance, risk mitigation, and the firm’s supervisory framework for registered employee activities .

Posted 10/14/2026full-timeUnited StatesMid-LevelSenior💰 $88,000 - $103,600 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance, risk management, and supervisory oversight within financial services. Proficient in conducting supervisory reviews, analyzing data, and fostering collaboration across business functions to enhance compliance and operational efficiency.

Highest-signal resume keywords

Active FINRA Series 7 LicenseActive FINRA Series 63 LicenseSupervisory Review ExperienceRegulatory Compliance KnowledgeAdvanced Proficiency in Microsoft Excel

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Risk MitigationInvestment Transaction SurveillanceData AnalysisSupervisory Framework ExecutionRegulatory Examination SupportProcess ImprovementControl Gap IdentificationWritten Communication ReviewOutside Business Activity ApprovalRecordkeeping Management

Soft Skills

LeadershipRelationship ManagementCommunicationAnalytical ThinkingClient Service Orientation

Tools & Technologies

Microsoft ExcelMicrosoft PowerPointMicrosoft CopilotCase Management SystemsDatabases

Certifications & Qualifications

FINRA Series 7FINRA Series 9FINRA Series 10FINRA Series 63FINRA Series 65FINRA Series 66FINRA Series 4FINRA Series 24FINRA Series 53

Industry Keywords

Broker-DealerWealth ManagementConsumer InvestmentsSecurities RegulationsCompliance Requirements

About the role

Key responsibilities & impact

Execute key supervisory functions supporting regulatory compliance, risk mitigation, and the firm’s supervisory framework for registered employee activities
Perform critical reviews, approvals, and oversight activities to identify, assess, and escalate potential risks
Oversee employee email communications and personal securities accounts
Review and approve Outside Business Activity disclosures
Conduct investment transaction surveillance and supervisory reviews
Support internal audits, regulatory examinations, and compliance initiatives
Oversee registration and licensing
Review, escalate, and document written electronic communications
Provide employee training, coaching, and supervisory process improvements
Perform supervisory reviews and approval functions for assigned processes
Complete, document, escalate, and remediate supervisory reviews, tasks, and identified issues
Evaluate workflows and lead process enhancements to improve efficiency and strengthen controls
Identify emerging risks, trends, control gaps, and supervisory concerns; recommend mitigation solutions
Maintain records in databases, case management systems, and other recordkeeping applications
Partner with Compliance, Risk, Audit, and business stakeholders on examinations, reviews, and supervisory initiatives
Promote risk management, accountability, continuous improvement, and regulatory compliance

Requirements

What you’ll need

Active FINRA Series 7, 9/10, and 63/65 or 66 licenses
In lieu of the Series 9/10, active Series 4, 24, and 53 licenses may be considered
Demonstrated leadership, relationship management, and communication skills
Ability to influence and collaborate across multiple business functions
Ability to build effective partnerships with Business, Compliance, Legal, Risk, and Operations teams
Strong analytical, critical thinking, and decision-making skills
Ability to assess risk, exercise sound judgment, and appropriately escalate concerns
High degree of professionalism, integrity, and accountability
Ability to perform effectively in a fast-paced and evolving environment
Strong client service orientation and commitment to quality outcomes
Experience conducting supervisory reviews, investigations, regulatory reviews, or complaint resolution within a broker-dealer, wealth management, or consumer investments environment
Working knowledge of applicable securities regulations, compliance requirements, and supervisory practices
Advanced proficiency in Microsoft Excel, PowerPoint, and Microsoft Copilot
Ability to analyze data, identify trends, and develop executive-level reporting and presentations
Minimum education requirement: High School Diploma / GED / Secondary School or equivalent

Benefits

Comp & perks

Discretionary incentive eligible; eligible to participate in the annual discretionary plan
Industry-leading benefits
Paid time off
Resources and support to employees
Opportunities to learn, grow, and make an impact
Support for physical, emotional, and financial wellness through affordable, competitive and flexible benefits