Direct - Supervision Principal - Bank of America Corporation - Chandler

Responsibilities Include (but Are Not Limited To) Thefollowing
New Account Approval
Option Account Approval
Conduct supervisory trade reviews through Risk Management Supervision System (RMS), End of Day Report (EOD), Online Trade Review (OTR) & other various reportsConduct supervisory reviews including RMS, EOD & OTR.
Cash to Margin review
Approving market action trade corrections and review/audit monthly error logs

Review and maintain all Compliance and Regulatory Correspondence including email and Fax2mail
Monitor accounts with large debit balances and short market values over $500,000 and coordinate approval with Credit Administration and clients


Weekly Schedule (Required if schedule is other than M-F; 8-5)

M-F
Must have FINRA Series 7 and 63 to be considered for the role
Series 8, or 9/10 and 65 or 66 desired or be willing to obtain within a specified time frame (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
Strong Leadership and Communication skills
Merrill Edge self directed, MEAC or Branch Office CA, FA or Operations experience
Familiarity with compliance and regulatory issues

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