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…