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…