Supervision Manager
3 weeks ago
Job Summary:
This role is responsible for overseeing the supervision of client account activities, ensuring compliance with policies, procedures, and regulations to limit risk and financial exposure to the business unit and the bank. The ideal candidate will have strong leadership and communication skills, with the ability to foster collaborative relationships within and across business units.
Key Responsibilities:
- Monitor and supervise client account activities to ensure compliance with regulatory requirements.
- Oversee the day-to-day front line supervision, including mandated supervisory reviews and enterprise alerts.
- Ensure employees comply with policies, procedures, and regulations to limit risk and financial exposure to the business and the firm.
- Create and oversee team workflow, including mandated supervisory reviews and enterprise alerts.
- Monitor employees' ability to handle and resolve complaints.
Required Qualifications:
- FINRA Series 7, 8 or 9/10, 63/65 or 66 licenses (or equivalent).
- Strong leadership and communication skills.
- Able to foster collaborative relationships within and across business units.
- Demonstrate integrity and remain calm under pressure.
- Familiarity with compliance and regulatory issues.
- Proficient in Microsoft Office applications.
- Merrill Edge, Merrill Lynch, or Operations experience.
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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