Clinical Nutrition Manager leading nutrition team at Baylor University Medical Center in Dallas, TX. Responsible for overseeing clinical nutrition program, ensuring high quality patient care and team management.
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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