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Broker-Dealer Customer Protection Program Lead

Charlotte, North Carolina

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Job Description:

About Us

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. We do this by driving Responsible Growth and delivering for our clients, teammates, communities and shareholders every day.

Being a Great Place to Work is core to how we drive Responsible Growth. This includes our commitment to being an inclusive workplace, attracting and developing exceptional talent, supporting our teammates’ physical, emotional, and financial wellness, recognizing and rewarding performance, and how we make an impact in the communities we serve.

Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.

At Bank of America, you can build a successful career with opportunities to learn, grow, and make an impact. Join us!

Job Description:

This role resides within the Client Asset Control Group (CACG) Americas (AMRS) region. CACG is a Global Markets Operations team which provides front-to-back oversight of customer protection regulatory requirements across multiple U.S. Broker Dealers.

This role serves as a subject matter expert supporting programs and projects related to regulatory and non-regulatory change within Client Assets. Additionally, this role supports core operations functions related to U.S. Client Asset Protection rules to ensure regulatory compliance and audit readiness.

Responsibilities:

+ Assists with defining program controls, processes, procedures, reporting cadence, decision governance structures, and ways of working with key stakeholders

+ Partners closely with project sponsors, cross-functional teams, and assigned project managers to develop the scope, deliverables, required resources, work plan, budget, and timing for new change initiatives

+ Supports the execution of defined tasks through tracking of program milestones and their statuses, developing program plans, and measuring progress against ongoing key performance indicators

+ Analyzes, evaluates, and overcomes program risks and produces program reports for managers and stakeholders

+ Identifies key requirements for cross-functional teams and external vendors to perform in alignment with the program objectives

+ Works with other program managers to identify risks and opportunities across multiple projects within the department, leading them to negotiate decision making for efficient and effective resolution

+ Meets with stakeholders to provide transparency into project issues and decisions on services, builds positive relationships, asks questions, and uses tools to uncover root causes to challenges, identify opportunities, and make recommendations

Required Qualifications:

+ Intellectually curious with an aptitude for learning complex concepts quickly.

+ Proven analytical and problem-solving skills with excellent attention to detail and high level of accuracy.

+ Project management, process design, and/or process improvement experience.

+ Self-starter with effective time management and organizational skills; able to manage multiple priorities and meet deadlines.

+ Ability to adapt to, manage, and implements change effectively; includes ability to manage through program risks.

+ Advanced communication skills, both verbal and written, with ability to present to senior level audiences.

+ Committed to challenging the status quo and making sound recommendations to implement strategic change; focuses on process improvements.

+ Ability to analyze system logic, processes, and controls against regulatory guidelines to assess compliance.

+ Strong interpersonal and networking skills; knows how to navigate the organization to engage relevant stakeholders.

+ Effectively manages conflict with ability to gain stakeholder agreement to achieve optimal solutions.

+ Proficient with Excel, PowerPoint, and other MS Office products.

**Desired Qualifications** :

+ Understanding of U.S. Broker Dealer business, operations, and/or regulatory environment.

+ Knowledge of Customer Protection regulations is desired, but not required.

+ Experience working in a risk & control or regulatory environment.

+ Strategy planning and development experience.

+ JIRA software experience a plus.

+ Strives to bring new thoughts and ideas to teams in order to drive innovation and unique solutions

+ Excels in working among diverse viewpoints to determine the best path forward

+ Experience in connecting with a diverse set of clients to understand future business needs – is a continuous learner.

+ Participate in and drive collaborative efforts to advance tools, technology, and ways of working to better serve an evolving client base

+ Believes in value of diversity so we can reflect, connect and meet the diverse needs of our clients and employees around the world

**Skills** :

+ Process Design

+ Program Management

+ Project Management

+ Reporting

+ Strategy Planning and Development

+ Issue Management

+ Oral Communications

+ Presentation Skills

+ Prioritization

+ Problem Solving

+ Performance Management

+ Process Performance Management

+ Process Simplification

+ Risk Management

+ Workforce Planning

Shift:

1st shift (United States of America)

Hours Per Week:

40

Bank of America and its affiliates consider for employment and hire qualified candidates without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity, in accordance with all applicable federal, state, provincial and municipal laws. The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our teammates.

To view the "Know your Rights" poster, CLICK HERE (https://www.eeoc.gov/sites/default/files/2023-06/22-088\_EEOC\_KnowYourRights6.12.pdf) .

View the LA County Fair Chance Ordinance (https://dcba.lacounty.gov/wp-content/uploads/2024/08/FCOE-Official-Notice-Eng-Final-8.30.2024.pdf) .

Bank of America aims to create a workplace free from the dangers and resulting consequences of illegal and illicit drug use and alcohol abuse. Our Drug-Free Workplace and Alcohol Policy (“Policy”) establishes requirements to prevent the presence or use of illegal or illicit drugs or unauthorized alcohol on Bank of America premises and to provide a safe work environment.

To view Bank of America’s Drug-free Workplace and Alcohol Policy, CLICK HERE .

Bank of America is committed to an in-office culture with specific requirements for office-based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations. Should you be offered a role with Bank of America, your hiring manager will provide you with information on the in-office expectations associated with your role. These expectations are subject to change at any time and at the sole discretion of the Company. To the extent you have a disability or sincerely held religious belief for which you believe you need a reasonable accommodation from this requirement, you must seek an accommodation through the Bank’s required accommodation request process before your first day of work.

This communication provides information about certain Bank of America benefits. Receipt of this document does not automatically entitle you to benefits offered by Bank of America. Every effort has been made to ensure the accuracy of this communication. However, if there are discrepancies between this communication and the official plan documents, the plan documents will always govern. Bank of America retains the discretion to interpret the terms or language used in any of its communications according to the provisions contained in the plan documents. Bank of America also reserves the right to amend or terminate any benefit plan in its sole discretion at any time for any reason.