Bank of America Investment Compliance Manager - REQUIRED 7&66(63/65) Series 9&10 within 120 days - Rolling Meadows, IL in Rolling Meadows, Illinois
The Associate Administrative Manager position will serve to ensure regulatory compliance and corporate mandates for all administrative and operational activities performed in the Merrill Edge Client Management (MECM). MECM is a telephone-based platform that provides mass affluent clients with holistic financial advice and deepens client relationships by identifying broader product and service solutions to meet their investment, savings and credit needs. A predominant objective of the position is to limit risk and financial exposure to the business unit and the firm.
Responsibilities include (but are not limited to) the following:
Review and respond to Sales Practice client complaints received verbally or in writing for Merrill Edge
Conducting thorough supervisory reviews including Risk Management System (RMS), End Of Day (EOD) and Online Trade Review (OTR)
Approving market and non-market trade corrections
Review and maintain all Compliance and Regulatory Correspondence
Monitor and review large trades
Perform client contact as necessary
Manage projects/initiatives to improve sales supervision andrisk management processes
Required Skills: " MUST " have these skills to be minimally qualified.
Must have FINRA Series 7 & 66(63/65) in order to be considered for the role
Must be willing to take and pass the FINRA Series 9 and 10 within 120 days of start date (in lieu of the 9 and 10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
Strong Leadership and Communication skills
Able to foster collaborative relationships within and across business units
Demonstrate integrity and remains calm under pressure
Familiarity with compliance and regulatory issues
Proficient in Microsoft Office applications
MEAC or Branch Office CA, FA or Operations experience
Posting Date : 05/22/2018
Rolling Meadows, IL, 1600 Golf Rd (IL3511),
- United States
Travel : Yes, 5% of the time
Full / Part-time : Full time
Hours Per Week : 40
Shift : 1st shift
Weekly Schedule : Monday-Friday 8 a.m. - 5 p.m
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