Trade and Client Review Supervision Principal – Supervision Principal IV

Bank of America

. Perform delegated supervisory functions to identify and mitigate financial, regulatory, and reputational risk .

Posted 11/11/2026full-timePennington • New Jersey • United StatesLead💰 $89,000 - $111,900 per yearWebsite

Core Competencies

Role fit

Core Competencies

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

Demonstrates expertise in risk management, regulatory compliance, and supervisory functions within financial services. Capable of building relationships and managing high-volume workloads while ensuring adherence to policies and procedures.

Highest-signal resume keywords

Series 7 CertificationSeries 63/65/66 CertificationRisk ManagementRegulatory ComplianceAnalytical 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

Financial Services ProductsWealth Management ConceptsBusiness Process AnalysisSupervisory RequirementsDecision-MakingProblem-SolvingAttention to DetailIndependent JudgmentEscalation of RisksCompliance Policies

Soft Skills

Interpersonal SkillsCommunication SkillsAccountabilityFlexibilityTime Management

Tools & Technologies

System-of-Record Application

Certifications & Qualifications

Series 8 CertificationSeries 9/10 Certification

Industry Keywords

Financial RegulationsRisk FactorsEmerging RisksField SupervisionControl Functions

About the role

Key responsibilities & impact

Perform delegated supervisory functions to identify and mitigate financial, regulatory, and reputational risk
Review, decision, escalate, and resolve supervisory matters for branch offices and supported markets
Understand supported businesses and markets, identify emerging risks and trends, prioritize issues, and own matters through resolution
Build and manage relationships with Field Supervision leaders, Office Management Teams, Financial Advisors, Wealth Management Associates, Product Managers, and Control Partners
Ensure compliance with policies, procedures, and regulations
Oversee supervision-group processes to identify, monitor, and limit risk and financial exposure
Review and decide alerts and tasks within a system-of-record application
Escalate emerging risks and trends using established criteria, risk factors, and metrics
Manage and prioritize multiple tasks while maintaining quality and timeliness of deliverables
Work with Field Supervision, business partners, and control functions in support of the firm’s Responsible Growth strategy

Requirements

What you’ll need

Series 7, and 8 or 9/10, and 63/65 or 66 (in lieu of the 8 or 9/10: 4, 24 and 53)
Minimum of three years of industry experience
Deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products
Strong analytical, decision-making, and problem-solving skills
Ability to manage a high-volume workload and prioritize competing demands
Strong interpersonal and communication skills
Ability to exercise independent judgment and escalate complex or higher-risk matters
Demonstrated accountability and ownership of issues through resolution
Flexibility to accommodate changing processes, policies, and regulations
Attention to detail
Risk management
Ability to interpret relevant laws, rules, and regulations
Business process analysis
Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent
May be required to work onsite in accordance with the workplace excellence policy if selected

Benefits

Comp & perks

Discretionary incentive eligible; eligible to participate in the annual discretionary plan
Benefits eligible
Access to paid time off
Resources and support to employees
In-office culture with role-specific flexibility