Job Description:

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day. Being a Great Place to Work and providing a culture of caring is core to how we drive Responsible Growth. We are intentional about fostering an inclusive workplace where every teammate has the opportunity to succeed, build a career and contribute to our shared success. This includes attracting and developing exceptional talent, recognizing and rewarding performance, and supporting our teammates’ physical, emotional, and financial wellness through affordable, competitive and flexible benefits. We value the unique perspectives individuals bring from all backgrounds and career paths - whether shaped by military service, community college education, or a wide range of work and life experiences. These journeys foster resilience, leadership and innovation, strengthening our workforce and positively impact the communities we serve. Bank of America is committed to an in-office culture that supports collaboration, engagement, and career development. Our approach includes clear in-office expectations, while providing an appropriate level of flexibility based on role-specific responsibilities and business needs. At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!

Enterprise Job Description:
The Supervision Manager (SM) is responsible for executing key supervisory functions that support regulatory compliance, risk mitigation, and the firm's supervisory framework for registered employee activities. The role performs critical reviews, approvals, and oversight activities designed to identify, assess, and escalate potential risks while ensuring adherence to internal policies and regulatory requirements.

Primary Responsibilities include:

• Oversight of employee email communications and personal securities accounts
• Review and approval of Outside Business Activity (OBA) disclosures
• Investment transaction surveillance and supervisory review
• Support of internal audits, regulatory examinations, and compliance initiatives
• Registration and licensing oversight
• Review, escalation, and documentation of written electronic communications
• Employee training, coaching, and supervisory process improvements

A critical component of the role is the identification, assessment, and escalation of emerging risks, trends, and supervisory concerns. The Supervision Manager partners with Compliance, Risk, and business leaders to drive risk management, strengthen supervisory controls, and maintain compliance with regulatory and firm standards.

 

Responsibilities:

• Performs supervisory reviews and approval functions for assigned processes, applying a thorough understanding of firm policies, procedures, and applicable regulatory requirements. Responsibilities include the review, evaluation, decision-making, escalation, and resolution of activities within the designated area of oversight.
• Demonstrates the ability to work independently while effectively collaborating with peers, business partners, and management to achieve supervisory, risk, and compliance objectives.
• Ensures timely completion, documentation, escalation, and remediation of supervisory reviews, tasks, and identified issues in accordance with firm standards and regulatory expectations.
• Evaluates existing workflows and leads the development and implementation of process enhancements that improve efficiency, strengthen controls, and increase the accuracy and timeliness of operational activities.
• Proactively identifies emerging risks, trends, control gaps, and potential supervisory concerns, escalating matters appropriately and recommending solutions to mitigate risk.
• Maintains accurate and complete records by updating databases, case management systems, and other recordkeeping applications in accordance with firm and regulatory requirements.
• Partners with Compliance, Risk, Audit, and business stakeholders to support regulatory examinations, internal reviews, and ongoing supervisory initiatives.
• Contributes to a culture of strong risk management, accountability, continuous improvement, and regulatory compliance through effective oversight, communication, and execution of supervisory responsibilities.

Skills:

• Attention to Detail
• Continuous Improvement
• Controls Management
• Risk Management
• Fraud Management
• Issue Management
• Monitoring, Surveillance, and Testing
• Policies, Procedures, and Guidelines Management
• Regulatory Relations
• Active Listening
• Decision Making
• Due Diligence
• Leadership Development
• Oral Communications

·       Regulatory Knowledge & Compliance Oversight

·       Fraud Risk Awareness

·       Policies, Procedures & Governance Management

 

Required Qualifications:

• Active FINRA Series 7, 9/10, and 63/65 or 66 licenses.
• In lieu of the Series 9/10, candidates may be considered with active Series 4, 24, and 53 licenses.
• Demonstrated leadership, relationship management, and communication skills, with the ability to influence and collaborate across multiple business functions.
• Proven ability to build effective partnerships with Business, Compliance, Legal, Risk, and Operations teams.
• Strong analytical, critical thinking, and decision-making skills, including the ability to assess risk, exercise sound judgment, and appropriately escalate concerns.
• High degree of professionalism, integrity, and accountability, with the ability to perform effectively in a fast-paced and evolving environment.
• Strong client service orientation and commitment to delivering quality outcomes.
• Experience conducting supervisory reviews, investigations, regulatory reviews, or complaint resolution within a broker-dealer, wealth management, or consumer investments environment.
• Working knowledge of applicable securities regulations, compliance requirements, and supervisory practices.

• Advanced proficiency in Microsoft Excel, PowerPoint, and Microsoft Copilot, including the ability to analyze data, identify trends, and develop executive-level reporting and presentations.

 

Desired Qualifications:

• Experience preparing executive summaries, leadership presentations, and management reporting for senior business, risk, compliance, and regulatory stakeholders.
• Demonstrated experience performing data analysis, trend analysis, root cause analysis, and risk identification to support supervisory and business decision-making.
• Advanced critical thinking and problem-solving capabilities with the ability to assess complex facts, make risk-based decisions, and provide sound recommendations.

 

Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent

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Shift:

1st shift (United States of America)

Hours Per Week: 

40

Pay Transparency details

US - MA - Boston - 100 Federal St - 100 Federal St Lp (MA5100), US - NJ - Iselin - 194 WOOD AVE S (NJ7550), US - NJ - Pennington - 1400 American Blvd - Hopewell Bldg 4 (NJ2140)

Pay and benefits information

Pay range

$88,000.00 - $103,600.00 annualized salary, offers to be determined based on experience, education and skill set.

Discretionary incentive eligible

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

Benefits

This role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.