Supervision Principal (Annuities & Life Insurance)

Bank of America

Jacksonville, FL
Job Code:
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Job Details

Company Bank of America

Job Title Supervision Principal (Annuities & Life Insurance)

Jobid bankofamerica-17015840JacksonvilleFL

Location: Jacksonville, FL, 32232, USA

Description **Job Description:**

This is a FINRA regulatory supervisory principal position with the Specialized Supervision team. The team assists with the regulatory oversight for the Advisory Division within Global Wealth Investment Management.

**Job Responsibilities** include (but are not limited to) the following:

+ Perform regulatory mandated supervision of all annuity and/or life insurance orders for assigned complexes.

+ Perform in-depth review of various post issue supervisory reports and trends.

+ Working closely with field management and FAs by establishing and maintaining positive working relationships to ensure business is conducted within guidelines set by the Firm and industry regulations

+ Maintaining a high level of intellectual curiosity; asking pertinent questions to gather relevant facts surrounding a problem, issue, or objective; weighing the relative importance, adequacy, and validity of information to form fact-based opinions, solve problems and make sound decisions.

+ Communicating effectively (both written and oral) with field management and FAs using clear, concise, and understandable language

+ Producing regular commentary on items of concern, ongoing issues, and recurring patterns at a client, FA, or complex level

+ Proactively anticipating and identifying concerns/issues as part of one’s daily responsibilities

+ Demonstrating sound and consistent supervisory judgment based on thorough and systematic review of information available

+ Maintaining positive outlook, receptivity to constructive feedback, and flexibility to accommodate changing processes, policies, and regulations

+ Openness to periodic travel (1-2 days) in support of relationship building with field management and FAs

**Core Competencies:**

Successful incumbents will be expected to demonstrate the following core competencies:

_Shows dedication to getting the job done accurately and efficiently._

- Demonstrates accuracy and thoroughness in all areas of responsibility

- Takes pride in his/her own work; demonstrates a sense of commitment to work and willingly assumes responsibility for accomplishing objectives; is dependable, conscientiously follows through on commitments, and is accountable for his/her results.

_Demonstrates the ability to concentrate on a task, despite interruptions, distractions and competing demands._

- Allocates appropriate amounts of time for completing tasks and work assignments

- Remains upbeat, calm and professional when faced with conflict, challenges, and demanding circumstances

- Shifts back and forth between multiple tasks or sources of information

- Persists in the face of significant distractions or ambiguity

_Makes timely, fact-based decisions and acts decisively._

- Asks appropriate questions to understand all relevant aspects of an issue

- Acts decisively despite ambiguity and complexity

- Speaks and acts with confidence; appropriately shares his/her opinion

- Stands up for what is right even when challenged

- Seeks guidance when the right course of action is unclear

_Adjusts to changing demands and requirements._

- Is comfortable with change; easily making transitions to the new and different

- Is constantly seeking to learn and advance his/her knowledge

- Remains current on technology advancements and implications for core responsibilities

_Projects and maintains a positive attitude and professional demeanor despite obstacles and setbacks._

- Remains positive and focused during times of pressure or adversity

- Demonstrates an optimistic and enthusiastic approach


+ Bachelor’s Degree (or equivalent work experience)

+ Prefer fully licensed candidates; however, must have at least the Series 7 and 63/65 or 66 in order to be considered for the role

+ Series 8 or 9/10 (or 24/4/53) needed – if not already licensed, must be obtained within 120 days of employment

+ Strong communication and analytical skills

+ Detail oriented and excellent organizational skills

+ Ability to work independently

+ Branch office experience or exposure would be helpful

+ Working knowledge of security products and services

+ Working knowledge of life or annuity products and services would be helpful

+ Working knowledge of regulatory policies and specifically ML policies/procedures would be helpful

(Enterprise Role Overview)

FOR USE IN GWIM COO ONLY. This position provides regulatory supervision within a group for multiple business channels. Requires thorough knowledge of the BD and regulatory requirements including the variety of products and services offered. Works independently with minimal supervision. May be involved in customer contact.

**Posting Date** : 03/16/2017

**Location** : US-FL-Jacksonville, US-NC-Charlotte

**Travel** : Yes, 5% of the time

**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 .

**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 section for answers to these questions and more.

Success begins with building relationships.

At Bank of America, our customers are at the center of everything we do. Our focus is on helping each one find the right financial solutions. With a wide range of career opportunities available, we invite you to realize your career goals with us while assisting customers with what matters most to them.

Welcome to Careers at Bank of America.

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