Insights Manager overseeing research execution (Quant, Qual) for global brands. Collaborating with internal teams and presenting actionable insights while ensuring quality and timely deliverables.
About the role
- Supervision Manager managing compliance responsibilities for registered associates at Bank of America across multiple locations. Focusing on mitigating financial and regulatory risk through auditing and supervision.
Responsibilities
- Use existing supervisory applications to complete quarterly registered representative review of each individual FSA location, ensuring compliance with all policies, procedures, settings and circumstances.
- Review, respond, and resolve Sales Practice customer complaints received verbally or in writing for Merrill edge.
- Assist in arbitration and legal matters.
- Monitor and review Investor Profile changes.
- Review Policy Settlements of a particular threshold to ensure settlements are within Firm Policy and Procedures.
Requirements
- 2 years industry experience
- Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
- Bachelor’s Degree or equivalent work experience
- Familiarity with compliance and regulatory issues
- Strong auditing background with willingness to travel
- Familiarity with Microsoft Word, Excel, and PowerPoint
Benefits
- A predominate objective of the position is to limit risk and financial exposure to the business unit and the firm.
- Become a member of the Branch Leadership Team, along with members of the Centralized Supervision.
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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