Client Account Supervision Lead

3 weeks ago


Lincoln, Lincolnshire, United Kingdom Bank of America Full time

Position Overview

The role of the Client Account Supervision Lead involves overseeing client account operations by ensuring the effective management of administrative, sales, and trading functions executed by registered personnel. The primary focus is to mitigate risk and financial exposure associated with the business unit and the institution for registered staff operating in call centers or financial service centers.

Key Responsibilities

  • Supervise daily frontline operations, including required supervisory assessments and enterprise notifications.
  • Conduct reviews of trades, solutions, and enrollments, ensuring accuracy and compliance.
  • Address trade corrections and resolve client complaints efficiently.
  • Ensure adherence to policies, procedures, and regulatory standards to minimize risk and financial liability.
  • Develop and manage team workflows, including mandatory supervisory evaluations and enterprise alerts.
  • Monitor the capability of employees in call centers or financial centers to effectively manage and resolve client issues.

Required Qualifications

  • Candidates should ideally possess FINRA Series 7, 8 or 9/10, 63/65 or 66 licenses (alternatively, candidates with Series 4, 24, and 53 may be considered).
  • Candidates with only Series 7 and 63/65 or 66 will be considered, provided they are willing to obtain the remaining licenses within a specified timeframe.
  • Strong leadership and communication skills are essential.
  • Ability to cultivate collaborative relationships across various business units.
  • Demonstrated integrity and composure under pressure.
  • Familiarity with compliance and regulatory matters is preferred.
  • Proficiency in Microsoft Office applications is required.
  • Experience with Merrill Edge, Merrill Lynch, or Operations is advantageous.

Essential Skills

  • Attention to Detail
  • Continuous Improvement
  • Controls Management
  • Risk Management
  • Fraud Management
  • Issue Management
  • Monitoring, Surveillance, and Testing
  • Policies, Procedures, and Guidelines Management
  • Regulatory Relations
  • Active Listening
  • Decision Making
  • Due Diligence
  • Leadership Development
  • Oral Communications

Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent

Shift: 1st shift (United States of America)

Hours Per Week: 40



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