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Senior Supervision Manager - Hunt Valley, MD

Bank of America | Hunt Valley MD 21031 USA | Part Time | Posted: 07/19/2019

Job Descriptiontop

Job Description:

Position Description

Responsibilities/Position Summary:

The Senior Supervision Manager operates as a liaison to senior leadership for day to day responsibilities of the team having demonstrated strong performance, leadership and a thorough understanding and expertise for the responsibilities of the role. Perform all activities associated with the Supervision Manager role in addition to the coordination of the day to day activities including, but not limited to, control and audit remediation, mock audits of books and records, onboarding of registered associates and communication & tracking of key performance objectives. Responsible for day to day front line supervision, including mandated supervisory reviews and enterprise alerts, trade, solution & enrollment review, trade correction, and complaint resolution. Additional responsibilities include development of advisor proficiency through supplemental training, active coaching & remediation of policy and procedure violations.

Required Skills: "MUST" have these skills to be minimally qualified.

  • Bachelor’s Degree or equivalent work experience

  • Must have FINRA Series 7, 8 or 9/10, 66(63/65) or equivalent 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)
  • Familiarity with compliance and regulatory issues
  • Strong auditing background with willingness to travel
  • Strong leadership abilities, communication and delegation skills
  • Familiarity with Microsoft Word, Excel, and PowerPoint
  • Meets / Meets Rating
  • One year experience minimum in Edge Supervision

Enterprise Role Overview

The Senior Supervision Manager operates as a liaison to senior leadership for day to day responsibilities of the team having demonstrated strong performance, leadership and a thorough understanding and expertise for the responsibilities of the role. Perform all activities associated with the Supervision Manager role in addition to the coordination of the day to day activities including, but not limited to, control and audit remediation, mock audits of books and records, onboarding of registered associates and communication & tracking of key performance objectives. Responsible for day to day front line supervision, including mandated supervisory reviews and enterprise alerts, trade, solution & enrollment review, trade correction, and complaint resolution. Additional responsibilities include development of advisor proficiency through supplemental training, active coaching & remediation of policy and procedure violations. Series 7, 66, 9/10 or equivalent required

• Bachelor’s degree or equivalent work experience • FINRA Series 7, 8 or 9/10, 63/65 or 66 or equivalent to be considered for the role. • Familiarity with compliance and regulatory issues • Strong leadership abilities, communication and delegation skills • Familiarity with Microsoft Word, Excel and PowerPoint • Proven ability to manage risk and make sound decisions by having a deep 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 with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk.

• Ability to demonstrate strong and effective leadership style through clear communication and collaboration with other partners to make sound decisions with courage and conviction.

Shift:

1st shift (United States of America)

Hours Per Week:

40

Job Detailstop

Location Hunt Valley, MD, 21031, United States
Categories Administrative/Clerical Support

Location Maptop

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Job Code 18074596-1
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