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Bank of America

Supervision Manager

Bank of America

. Ensure regulatory compliance and corporate mandates for administrative and operational activities in the Consumer Investment Self-Directed space .

Posted 9/18/2026full-timeBoston • New Jersey • United StatesMid-LevelSenior💰 $88,000 - $103,600 per yearWebsite

Core Competencies

Role fit
Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in regulatory compliance, risk management, and supervisory practices within the Consumer Investment Self-Directed space. Proficient in training and coaching associates while effectively managing operational activities and ensuring adherence to policies and procedures.

Highest-signal resume keywords
FINRA Series 7Risk ManagementRegulatory ComplianceAnalytical SkillsLeadership Development

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
Risk ManagementRegulatory ComplianceControls ManagementFraud ManagementIssue ManagementMonitoring, Surveillance, and TestingPolicies, Procedures, and Guidelines ManagementDue DiligenceDecision MakingContinuous Improvement
Soft Skills
Attention to DetailActive ListeningOral Communications
Tools & Technologies
Microsoft WordMicrosoft ExcelMicrosoft PowerPointMicrosoft Office
Certifications & Qualifications
FINRA Series 7FINRA Series 8FINRA Series 9/10FINRA Series 63FINRA Series 65FINRA Series 66Licenses 4Licenses 24Licenses 53
Industry Keywords
Consumer InvestmentSelf-DirectedOperational ActivitiesCorporate MandatesSupervisory RequirementsCompliance IssuesMerrill EdgeMerrill LynchOperations Experience

About the role

Key responsibilities & impact
  • Ensure regulatory compliance and corporate mandates for administrative and operational activities in the Consumer Investment Self-Directed space
  • Limit risk and financial exposure to the business unit and Firm
  • Supervise frontline units’ adherence to Firm policies and procedures
  • Partner with CICS&RM leadership to communicate trends and resolve escalations
  • Review and approve activities and determine appropriateness within the Self-Direct space
  • Reference policies or procedures to assist associates with questions
  • Provide backup coverage when peers are out of office or capacity needs arise
  • Partner with other lines of business on questions and requests
  • Escalate trends identified in reviews and leverage peers across lines of business to resolve issues
  • Join or lead initiatives and process improvement opportunities
  • Assist with training, coaching, and preparation/approval of associates and Supervision resources

Requirements

What you’ll need
  • Bachelor's Degree or equivalent work experience
  • Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered; alternatively, candidates may hold licenses 4, 24, and 53 in lieu of Series 8 or 9/10
  • FINRA Series 7, 66, 9/10 or equivalent required at hire
  • Proven ability to manage risk and make sound decisions through understanding of industry regulations, supervisory requirements, and policies/procedures
  • Ability to identify client needs and concerns and coach advisors on aligning solutions to goals in a suitable and controlled way
  • Strong analytical skills
  • Ability to identify emerging risks and trends in processes and escalate appropriately
  • Familiarity with Microsoft Word, Excel, and PowerPoint
  • Familiarity with compliance and regulatory issues
  • Proficient in Microsoft Office applications
  • Merrill Edge, Merrill Lynch, or Operations experience
  • High School Diploma / GED / Secondary School or equivalent
  • 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

Benefits

Comp & perks
  • Annual discretionary incentive plan eligibility
  • Industry-leading benefits
  • Paid time off
  • Resources and support to employees
  • In-office culture supporting collaboration, engagement, and career development
  • Opportunities to learn, grow, and make an impact