Regulatory Account
3 weeks ago
New Accounts Supervision Principal – Supervision Principal II page is loaded New Accounts Supervision Principal – Supervision Principal II
Apply locations Pennington Jacksonville time type Full time posted on Posted 2 Days Ago job requisition id 24017721 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. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.
We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.
Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. This role provides regulatory supervision and oversight for processes within a supervision group for multiple business channels. Principals must show attention to detail and effectively evaluate risks of the processes. The role is typically focused on a specific process and requires knowledge of Firm policies, Firm procedures and regulatory requirements that govern the process. Principals must be able to work independently, as well as interdependently with peers and field management.
The New Account Supervision team reviews and approves new accounts that flow through the Enterprise Account Opening platform (EAO) for MLWM domestic advisory accounts, and the Account Opening Wizard platform (AOW) for MLWM International Advisory accounts. The team acts as the first line of defense during client onboarding, and reviews new account applications to ensure compliance with all applicable FINRA, AML and KYC rules and regulations.
Bachelor’s Degree (or equivalent work experience) required
Makes timely, risk-based decisions and acts decisively.
Maintaining positive outlook, receptivity to constructive feedback, and flexibility to accommodate changing processes, policies, and regulations
Relationship Building
Risk Management
Business Process Analysis
Shift:
1st shift (United States of America) Hours Per Week:
Bank of America is committed to help employees through the transition period when they’re displaced as a result of a workforce reduction, realignment or similar measure. Please review the resume writing and interviewing tips provided below to help prepare you for your next career opportunity.
Regardless of the position you are interested in, the starting points to building your resume are the same:
Considerations when writing a resume
• Do use high quality, white or light colored 8½ x 11 paper. For example, don't mention your fondness for swimming unless you want to work on the water.)
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