Supervision Principal

Bank of America

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

Posted 9/21/2026full-timeUnited StatesLead💰 $86,800 - $95,800 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in conducting supervisory reviews, compliance support, and risk assessment within a broker-dealer or wealth management environment. Proficient in developing processes to enhance operational efficiency and maintaining collaborative partnerships across business functions.

Highest-signal resume keywords

Active FINRA Series 7, 9/10, 63/65, or 66Strong Analytical SkillsExperience Conducting InvestigationsAdvanced Proficiency in Microsoft ExcelAbility to Influence Stakeholders

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Supervisory ReviewsInvestment Transaction ReviewsAudit SupportData AnalysisProcess ImprovementRisk AssessmentRegistration Process KnowledgeCompliance FamiliarityDocumentationRecordkeeping

Soft Skills

LeadershipRelationship ManagementCommunication SkillsClient Service SkillsAbility to Remain Calm Under Pressure

Tools & Technologies

Microsoft ExcelMicrosoft PowerPointMicrosoft Copilot

Certifications & Qualifications

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

Industry Keywords

Broker-DealerWealth ManagementConsumer InvestmentsComplianceRegulatory Issues

About the role

Key responsibilities & impact

Conduct defined supervisory reviews and approvals related to registered employee activities
Oversee email and personal brokerage activity
Review outside business activity disclosures
Conduct investment transaction reviews
Provide audit and compliance support
Oversee 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, and resolve activities related to assigned processes
Work independently and interdependently with peers and management
Complete timely review, action, documentation, and remediation of supervisory reviews and tasks
Develop and implement processes and procedures to improve operating efficiency, timeliness, and accuracy
Update databases and recordkeeping applications

Requirements

What you’ll need

Active FINRA Series 7, 9/10, and 63/65 or 66
In lieu of Series 8 or 9/10, candidates may be considered if holding Series 4, 24, and 53
Demonstrated leadership, relationship management, and communication skills
Ability to influence stakeholders across multiple lines of business
Ability to build and maintain collaborative partnerships with business, compliance, legal, risk, and operational teams
Strong analytical and decision-making skills
Ability to assess complex situations, exercise sound judgment, and appropriately escalate risks
High degree of professionalism, integrity, and accountability
Ability to remain calm and effective under pressure
Strong client service skills
Experience conducting investigations, resolving customer complaints, or performing supervisory reviews within a broker-dealer, wealth management, or consumer investments environment
Familiarity with compliance and regulatory issues
Advanced proficiency in Microsoft Excel, PowerPoint, and Microsoft Copilot
Ability to analyze data, identify trends, and develop executive-level presentations and reporting
Prior knowledge of registration process, financial products, policies and procedures highly preferred
Bachelor’s Degree in related field or equivalent work experience
High School Diploma / GED / Secondary School or equivalent
40 hours per week

Benefits

Comp & perks

Affordable, competitive and flexible benefits
Support for physical, emotional, and financial wellness
Opportunities to learn, grow, and build a career
Annual discretionary incentive plan eligibility
Paid time off
Employee resources and support