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 is core to how we drive Responsible Growth. This includes our commitment to being a diverse and inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.

Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.

At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!

Position is reporting to the Head of Equity Business Controls. This individual will partner closely with the line of business, COO and other support functions (e.g. Compliance, Operational Risk). Responsible for creating, enhancing and overseeing the controls and processes that create the supervision framework which makes up the business operating environment. The primary responsibility is to ensure the Equity line of business is in compliance with applicable rules, regulations and implementing industry best practices.

The ideal candidate will be a highly motivated and experienced professional supporting Equity Sales and Trading businesses with an emphasis on Equity Derivatives. An ideal candidate should be adept at working with Front Office/Middle Office/Compliance/Technology areas. The candidate will also work closely with Sales/Trading desk Supervisors and may be asked to perform delegated responsibilities related to supervisory tasks  of sales/trading activity.

Position Description:

Understanding of US Equity Regulations, particularly SEC, FINRA, CFTCCoordinate with IT to create and enhance supervisory reportsWork closely with desk supervisors and support groups in managing the day-to-day supervision infrastructure including matrices, supervisor alignments and monthly supervisor acknowledgementsConduct specific delegated supervisory tasks and follow up as necessary with the business supervisors. Works with other support partners to ensure supervisory processes are considered in the overall business infrastructure and ensures that adequate supervisory tools exist or are developed to meet key supervisory requirementsConsults with senior management, the centralized Business Controls team, Legal and Compliance to develop strategies to implement change and improvements to current processes; and work with Compliance and Legal as appropriate to update procedures to reflect changes in regulatory rules.Oversee, develop, maintain and enforce the supervisory programFINRA series 7, 63, 57, 4 & 24 licensed 

Shift:

1st shift (United States of America)

Hours Per Week: 

40