Central Supervision Principal (Online Trade Review)-Pennington, NJ/Dallas, TX/Providence, RI/Jackson
Company Name:
Bank of America Corp.
Title: Central Supervision Principal (Online Trade Review)-Pennington, NJ/Dallas, TX/Providence, RI/Jacksonville, FL
Location: NJ-Pennington
Other Locations: US-FL-Jacksonville, US-TX-Dallas, US-RI-Lincoln
The role is intended to provide supervision of daily executed trades and various account review scenarios. Items identified within the Online Trade Review (OTR) and Risk Management Supervision (RMS) tools would be researched and either closed or escalated to the branch office for more information/review. CBRU performs duties as an extension of or substitute to field management, including: identify, research, and escalate trends and patterns based on review of client and Financial Advisor data.
Job Responsibilities include (but are not limited to) the following:
Perform regulatory mandated supervision of prior day executed trades within OTR
Perform in-depth review of various supervisory scenarios within RMS, including concentration, loss, and margin
Working closely with field management and FAs by establishing and maintaining positive working relationships to ensure business is conducted within guidelines set by the Firm and industry regulations
Maintaining a high level of intellectual curiosity; asking pertinent questions to gather relevant facts surrounding a problem, issue, or objective; weighing the relative importance, adequacy, and validity of information to form fact-based opinions, solve problems and make sound recommendations
Communicating effectively (both written and oral) with field management and FAs using clear, concise, and understandable language
Producing regular commentary on items of concern, ongoing issues, and recurring patterns at a client, FA, or complex level
Proactively anticipating and identifying concerns/issues as part of one's daily responsibilities
Demonstrating sound and consistent supervisory judgment based on thorough and systematic review of information available
Maintaining positive outlook, receptivity to constructive feedback, and flexibility to accommodate changing processes, policies, and regulations
Openness to periodic travel (1-3 days annually) in support of relationship building with field management and FAs
Required Skills:
Bachelor's Degree (or equivalent work experience)
Must have Series 7 in order to be considered for the role
Series 8 or 9/10 (or equivalents) and 63/65 or 66 - if not already licensed, must be obtained within 30 days given per exam needed after first date of employment
Ability to work independently
Strong technical skills
Strong communication and analytical skills
Desired Skills:
Detail oriented and excellent organizational skills
Branch office experience or exposure
Knowledge of security products and services
Knowledge of regulatory policies and specifically ML policies/procedures would be helpfulSI-Investment Sales
Organization: 1497340-GWIM CHIEF OPERATING OFFICEREstimated Salary: $20 to $28 per hour based on qualifications.
Bank of America Corp.
Title: Central Supervision Principal (Online Trade Review)-Pennington, NJ/Dallas, TX/Providence, RI/Jacksonville, FL
Location: NJ-Pennington
Other Locations: US-FL-Jacksonville, US-TX-Dallas, US-RI-Lincoln
The role is intended to provide supervision of daily executed trades and various account review scenarios. Items identified within the Online Trade Review (OTR) and Risk Management Supervision (RMS) tools would be researched and either closed or escalated to the branch office for more information/review. CBRU performs duties as an extension of or substitute to field management, including: identify, research, and escalate trends and patterns based on review of client and Financial Advisor data.
Job Responsibilities include (but are not limited to) the following:
Perform regulatory mandated supervision of prior day executed trades within OTR
Perform in-depth review of various supervisory scenarios within RMS, including concentration, loss, and margin
Working closely with field management and FAs by establishing and maintaining positive working relationships to ensure business is conducted within guidelines set by the Firm and industry regulations
Maintaining a high level of intellectual curiosity; asking pertinent questions to gather relevant facts surrounding a problem, issue, or objective; weighing the relative importance, adequacy, and validity of information to form fact-based opinions, solve problems and make sound recommendations
Communicating effectively (both written and oral) with field management and FAs using clear, concise, and understandable language
Producing regular commentary on items of concern, ongoing issues, and recurring patterns at a client, FA, or complex level
Proactively anticipating and identifying concerns/issues as part of one's daily responsibilities
Demonstrating sound and consistent supervisory judgment based on thorough and systematic review of information available
Maintaining positive outlook, receptivity to constructive feedback, and flexibility to accommodate changing processes, policies, and regulations
Openness to periodic travel (1-3 days annually) in support of relationship building with field management and FAs
Required Skills:
Bachelor's Degree (or equivalent work experience)
Must have Series 7 in order to be considered for the role
Series 8 or 9/10 (or equivalents) and 63/65 or 66 - if not already licensed, must be obtained within 30 days given per exam needed after first date of employment
Ability to work independently
Strong technical skills
Strong communication and analytical skills
Desired Skills:
Detail oriented and excellent organizational skills
Branch office experience or exposure
Knowledge of security products and services
Knowledge of regulatory policies and specifically ML policies/procedures would be helpfulSI-Investment Sales
Organization: 1497340-GWIM CHIEF OPERATING OFFICEREstimated Salary: $20 to $28 per hour based on qualifications.
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