- Do use high quality, white or light colored 81⁄2 x 11 paper. For example, don't mention your fondness for swimming unless you want to work on the water.)
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Material Handling Operator
4 days ago
Richardson International Yorkton, CanadaYorkton - for Portage see below · At Richardson International, being truly invested is at the heart of everything we do. For over 160 years, Richardson has been dedicated to Canadian agriculture. Recognized as a global leader in agriculture and food processing, Richardson is one ...
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Material Handling Operator
2 days ago
Richardson International Yorkton, CanadaAt Richardson International, being truly invested is at the heart of everything we do. For over 160 years, Richardson has been dedicated to Canadian agriculture. Recognized as a global leader in agriculture and food processing, Richardson is one of Canada's Best Managed Companies ...
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Crush/seed Cleaning Operator
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Richardson International Yorkton, CanadaAt Richardson International, being truly invested is at the heart of everything we do. For 160 years, Richardson has been dedicated to Canadian agriculture. Recognized as a global leader in agriculture and food processing, Richardson is one of Canada's Best Managed Companies and ...
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Retail Manager
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Federated Co-operatives Limited Stockholm, Canada**Stockholm Co-op** is hiring a **Retail Manager** on a permanent basis in **Stockholm, SK.** · Looking for the next step in your retail career? Join Stockholm Co-op as their Retail Manager and make a direct contribution to their organization and community · **What you'll do**: · ...
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Financial Advisor
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Financial Advisor 1
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Financial Advisor
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Material Handler
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Stage de fin d'études
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Associate Financial Consultant
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Merrill Financial Solutions Advisor
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Occupational Safety
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Health and Safety Manager
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accountant
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accountant
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Financial Services Advisor
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Retail Manager
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Insurance Account Executive
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Store Production Team Member
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Merchandise Processing Associate
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Investment Manager - Melville, SK, Canada - Bank of America
Description
Consumer Investments - Supervision Manager page is loaded Consumer Investments - Supervision ManagerApply locations Melville time type Full time posted on Posted Yesterday job requisition id
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.
Bank of America believes both in the importance of working together and offering flexibility to our employees.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 job is responsible for supervising client account activities by monitoring administrative, sales, and trading tasks performed by registered employees.
Key responsibilities include limiting risk and financial exposure to the business unit and the bank for registered employees located in call centers or financial centers.
Job expectations include overseeing day-to-day front line supervision, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, trade correction, and complaint resolution.
The Supervisory Management position will serve to ensure regulatory compliance and corporate mandates for all administrative, sales, and operational activities performed by Field Financial Services Advisors (FSA), in the Merrill Edge platform.
This platform within the Consumer Banking & Merrill Edge has over 400 billion in assets under management.A predominate objective of the position is to limit risk and financial exposure to the business unit and the firm.
The SM supports the Firm's business objectives and contributes to the line of business profitability by influencing Advisor business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation.
Ultimately, the SM protects the Firm, helps growth business responsibly, and serves the client by proactively managing and mitigating risks.
Supervision manager as a member of the branch leadership team, the r is responsible for a wide variety of delegated Supervision which includes administrative and business functions related to the regulatory supervisor's responsibilities for the parent and associate offices.
He or she functions independently, or with minimal guidance, Supervision manager and supports the company's business objectives and contributes to branch office profitability by influencing Financial Advisor business practices in ways that minimize regulatory, financial and reputational risks.
Ensures employees comply with policies, procedures, and regulations to limit risk and financial exposure to the business and the firmCreates and oversees team workflow, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, and trade correction for consumer investments
Monitors employees in call centers or financial centers ability to handle and resolve complaints
Coach and drive good behaviors and best practices to operate within the company's risk controls and promote operational excellence.
Use existing supervisory applications to complete semi-annual audits of each individual FSA/BFA/CFSA location, ensuring compliance with all policies, procedures, settings and circumstances.
Review, respond, and resolve Sales Practice customer complaints received verbally or in writing for Merrill edge.Assist in arbitration and legal matters.
Review and maintain all Client, Compliance and Regulatory Incoming and Outgoing Correspondence
Monitor accounts with large debit balances and short market values over $500,000 and coordinate approval with Credit Administration and clients.
Review Policy Settlements of a particular threshold to ensure settlements are within Firm Policy and Procedures.Monitor and review large trade and managed account enrollments
Review exception requests for Control Securities and coordinate with Field FSAs/BFAs.
Monitor and manage registration, licensing and continuing education for all advisors including FSA's/CFSA's/SRM's
Monitor and review client accounts for potential risk with regard to mutual fund trading, concentrated positions, active client reviews, and margin usage.
Manage projects / initiatives to improve sales supervision and risk management.Monitor adherence to all established policies and procedures by registered representatives
Escalate emerging risks within the enterprise risk framework to identify potential business concerns and/or breakdown in controls.
Bachelor's Degree or equivalent work experience
Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: Familiarity with compliance and regulatory issues
Strong auditing background with willingness to travel
Familiarity with Microsoft Word, Excel, and PowerPoint
Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, and policies/procedures
Ability to identify client needs and concerns, and coach advisors on aligning solutions to goals in a suitable and controlled way
Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk
Controls Management
Risk Management
Fraud Management
Monitoring, Surveillance, and Testing
Policies, Procedures, and Guidelines Management
Regulatory Relations
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
