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!

This job is responsible for driving and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF). Key responsibilities include providing analytical and administrative support for LOB or ECF specific processes and tools to drive adherence to enterprise-wide standards. Job expectations include monitoring and testing controls and implementing quality assurance and quality control processes within the LOB or ECF by evaluating data to help identify, track, and report issues and control improvements for remediation.

We are seeking a highly motivated Regulatory Risk & Compliance Lead to oversee critical regulatory compliance programs, registration and licensing activities, associate investment monitoring processes, and centralized risk and control execution. This role is responsible for ensuring regulatory obligations are met through effective governance, execution of key controls, risk identification, issue management, monitoring, reporting, and stakeholder engagement across business and support functions.

The successful candidate will serve as a trusted advisor to senior leaders and partner closely with Compliance, Risk, Registration & Licensing, Human Resources, Technology, Audit, and Business Control teams to strengthen the control environment and support regulatory compliance requirements

Responsibilities:

• Regulatory Compliance & Risk Governance - Lead oversight and execution of regulatory compliance programs supporting FINRA, securities registration, licensing, employee trading, and related compliance obligations
• Associate Investment Monitoring (AIM) - Lead governance and oversight of Associate Investment Monitoring activities involving personal trading compliance, outside business activities, private investments, board memberships, and conflict-of-interest disclosures
• Registration & Licensing Oversight - Provide oversight of FINRA-covered populations and associated registration and licensing requirements
• Controls, Monitoring & Testing - Execute and oversee centralized controls designed to ensure compliance with policies, regulations, and regulatory commitments
• Stakeholder Management - Partner with Compliance, Risk, Front Line Units, Control Functions, Audit, and Technology teams to address regulatory and operational risk matters
• Oversees the design and effectiveness of the risk and control environment to support Client Operational Services and ensure adherence to enterprise-wide standards
• Supports the monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation
• Implements optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts
• Conducts and coordinates quality inspection reviews to enhance employee performance and control effectiveness
• Performs QA activities including executing on controls, managing cases, and reporting results
• Executes initiatives by identifying areas of potential testing automation, procedural updates, thematic trends, test script updates, and coaching opportunities to enhance QA program success
• Supports the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting

Required Qualifications:

• 7+ years of experience in Compliance, Risk Management, Business Controls, Regulatory Oversight, Registration & Licensing, or related financial services disciplines
• Strong understanding of securities industry regulations, FINRA requirements, employee compliance programs, and regulatory control frameworks
• Experience managing operational risk, compliance risk, controls, issue management, and governance processes
• Proven ability to interpret regulations and translate requirements into effective controls and business practices
• Demonstrated experience leading regulatory reviews, audits, examinations, or remediation efforts
• Strong analytical, organizational, and problem-solving skills
• Excellent written and verbal communication skills with experience presenting to senior leadership

Desired Qualifications:

• Experience supporting Associate Investment Monitoring (AIM), personal trading compliance, conflict-of-interest programs, or employee compliance risk programs
• Knowledge of registration and licensing processes, FINRA coverage determinations, fingerprint requirements, and continuing education obligations
• Experience with risk reporting, metrics development, data analysis, and executive-level presentations
• Familiarity with compliance technology platforms, workflow tools, and regulatory reporting systems

Skills:

• Controls Management
• Issue Management
• Monitoring, Surveillance, and Testing
• Quality Assurance
• Risk Management
• Analytical Thinking
• Attention to Detail
• Critical Thinking
• Problem Solving
• Written Communications
• Decision Making
• Innovative Thinking
• Prioritization
• Recording/Organizing Information
• Research

Shift:

Hours Per Week: