Bank of America Assistant Operations Manager- Margin and Monetary Approvals ( Series 7 Required) in Pennington, New Jersey
The Sr. Team Operations Manager is responsible for managing the Obligations and Reporting teams within the Margin and Monetary Approvals Department. The manager is responsible for ensuring accounts are in compliance with Regulatory and Firm policies and procedures and will be responsible for providing interpretations/recommendations on proposed and implemented regulations from FINRA and other regulatory bodies. The Manager must exhibit the flexibility, willingness and ability to be empowered with making risk management decisions, without having to confer with senior managers.
All branch office inquiries must be resolved promptly and accurately, with direct accountability for servicing all clients within Merrill Lynch.
Enterprise Job Description:
The associate manages a diverse team of 20+ non-exempt, Series 7/66 registered Multi-Product Specialists involving high financial and regulatory risk exposure.
Strong leadership, organizational and teamwork skills
Series 7 required
Series 24 required or achieved within a time frame mutually agreed upon by the manager and the candidate
Previous management experience and knowledge of Retail Brokerage operations is required
Candidate should be familiar with various back office retail systems and proficient using MS Word and Excel
Excellent written and verbal communication skills as well as good organizational skills and detail oriented
- College degree preferred
Posting Date : 03/08/2018
Pennington, NJ, HOPEWELL BLDG. 5, 1500 AMERICAN BLVD,
- United States
Travel : No
Full / Part-time : Full time
Hours Per Week : 40
Shift : 1st shift
Assistance for Applicants with Disabilities
Bank of America is committed to ensuring that our online application process provides an equal employment opportunity to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to submit an application, please visit the Applicants with Disabilities page at http://careers.bankofamerica.com/us/applicants-with-disabilities .
Diversity & Inclusion
At Bank of America, our commitment to diversity and inclusion is helping us to create not only a great place to work, but also an environment where our employees, our customers and our communities around the world can reach their goals and connect with each other. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.
Frequently Asked Questions
Need to know how to apply online, view a list of your submitted job applications or reset your password? Visit our FAQ at http://careers.bankofamerica.com/us/faq section for answers to these questions and more.