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Associate Administrative/Supervisory Manager-Hunt Valley, MD. Job in Hunt Valley, Maryland, United States in Bank of America Corporation. Nelest.com
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Associate Administrative/Supervisory Manager-Hunt Valley, MD

col-narrow-left   

Job ID:

18337

Location:

Hunt Valley, MD 

Job function:

Finance, General Management
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Posted:

03.03.2016

Employment Type:

Full time

Industry:

Financial
col-wide   

Title:

Associate Administrative/Supervisory Manager-Hunt Valley, MD

Job Description:

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 Advisory Center (MEAC). MEAC 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)
  • Review and approve new accounts using the Enterprise Account Opening System (EAO)
  • 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 and risk management
  • (Enterprise Role Overview)

    The Associate Administrative Manager functions as a member of the branch leadership team, responsible for a wide variety of delegated compliance, administrative and business functions related to the Director's overall managerial responsibilities for parent and associate offices. The Associate Administrative Manager 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. A training role to learn and understand the role before taking over a full Administrative Manager role.

     

 

 

 

 

 

 

 

 

 

 

(Enterprise Role Overview)

The Associate Administrative Manager functions as a member of the branch leadership team, responsible for a wide variety of delegated compliance, administrative and business functions related to the Director's overall managerial responsibilities for parent and associate offices. The Associate Administrative Manager 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. A training role to learn and understand the role before taking over a full Administrative Manager role.

Job Requirements:

Qualifications

  • Must have FINRA Series 7 and 66 or 63 and 65 in order to be considered for the role
  • Must be willing to take and pass the FINRA Series 9 and 10 within 60 days of start date (in lieu of the 9 and10 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


Location: US-MD-Hunt Valley
Travel: No

Zip Code:

21065

Company Info
Bank of America Corporation

Charlotte, NC, United States

Phone:
Web Site: www.bankofamerica.com

Company Profile

Company Info


Bank of America Corporation
Charlotte, NC, United States
Phone:
Web Site: www.bankofamerica.com

Associate Administrative/Supervisory Manager-Hunt Valley, MD

col-narrow-left   

Job ID:

18337

Location:

Hunt Valley, MD 

Job function:

Finance, General Management
col-narrow-right   

Posted:

03.03.2016

Employment Type:

Full time

Industry:

Financial
col-wide   

Title:

Associate Administrative/Supervisory Manager-Hunt Valley, MD

Job Description:

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 Advisory Center (MEAC). MEAC 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)
  • Review and approve new accounts using the Enterprise Account Opening System (EAO)
  • 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 and risk management
  • (Enterprise Role Overview)

    The Associate Administrative Manager functions as a member of the branch leadership team, responsible for a wide variety of delegated compliance, administrative and business functions related to the Director's overall managerial responsibilities for parent and associate offices. The Associate Administrative Manager 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. A training role to learn and understand the role before taking over a full Administrative Manager role.

     

 

 

 

 

 

 

 

 

 

 

(Enterprise Role Overview)

The Associate Administrative Manager functions as a member of the branch leadership team, responsible for a wide variety of delegated compliance, administrative and business functions related to the Director's overall managerial responsibilities for parent and associate offices. The Associate Administrative Manager 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. A training role to learn and understand the role before taking over a full Administrative Manager role.

Job Requirements:

Qualifications

  • Must have FINRA Series 7 and 66 or 63 and 65 in order to be considered for the role
  • Must be willing to take and pass the FINRA Series 9 and 10 within 60 days of start date (in lieu of the 9 and10 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


Location: US-MD-Hunt Valley
Travel: No

Zip Code:

21065
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