125 Team Supervision jobs in the United States

Why Stifel

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole.

Let's talk about how you can find your place here at Stifel, where success meets success .

What You'll Be Doing

The Central Supervision Analyst provides first-level supervisory review function for assigned Branch Managers and Financial Advisors of the Central Supervision Department.

What We're Looking For

• Review, analyze, approve and/or escalate money movement requests.
• Conduct verification calls to confirm client instructions, ensure veracity of request, and minimize risk
• Identify and escalate irregularities to Branch Score Cards
• Support Central Supervision Supervisors/Managers with reviewing, monitoring, creating, and following up on reports.
• Prepare Account Questionnaires to be completed by the FA as needed.
• Assist in the review of monthly detail statements. Contact the branch to verify information as needed.
• Follow up with branch staff on requests for information generated during ProSurv reviews.
• Gather information useful in reviewing/responding to account inquiries and requests for action initiated by Compliance.
• Gather information useful in reviewing any potential concerns regarding specific account or FA activity.

What You'll Bring

• Knowledge of principles and processes for providing customer and personal services. This includes customer needs assessment, meeting quality standards for services, and evaluation of customer satisfaction.
• Understanding of the core supervisory functions conducted by Central Supervision.
• Ability to meet deadlines and provide status reporting on current projects and assignments.
• Working knowledge of the supervisory tools utilized by Central Supervision.

Education & Experience

• Minimum Required: Bachelor's Degree in Financial field or equivalent education and experience combination
• Minimum Required: 1-3 years' Branch Operations experience

Licenses & Credentials

• Minimum Required: Series 7 required; Series 63 or 66

Systems & Technology

• Proficient in Word, PowerPoint, Outlook and Excel.

About Stifel

Stifel is more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients' money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let's talk about how you can find your place here at Stifel, where success meets success.

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer.

The Corrections Supervision Worker plays a vital role in overseeing inmates to ensure that meals and food items are prepared according to production plans. In this capacity, you will train and supervise workers in their duties while coordinating tasks to enhance operational efficiency. You will also ensure the sanitation of the facility and maintain safety by adhering to all standards and regulations.

Why Join Us?
We offer a competitive hourly rate of $18.36 and a comprehensive benefits package for eligible employees, including medical, dental, vision, and work/life resources. Additional benefits may include retirement savings plans and paid time off. Your well-being is our priority!

Key Responsibilities:

• Ensure adherence to preparation and production guidelines as per organizational standards.
• Supervise inmates during food preparation and tray assembly.
• Facilitate timely and efficient meal service while ensuring all guidelines are followed.
• Participate in meal preparation and serving duties.
• Print and distribute recipes while training inmates on proper cooking techniques.
• Ensure compliance with dietary requirements and portion control.
• Conduct accurate daily population counts.
• Adhere to security protocols, securing storage areas and kitchen tools.
• Determine work procedures, prepare schedules, and ensure all team members adhere to their assigned tasks.
• Assist with inventory management, receiving, and storing food items.
• Follow health and safety protocols in food handling and storage.

Qualifications:

• Must be over 18 years of age.
• Minimum of one year of food preparation or related work experience preferred.
• Previous supervisory experience is an advantage.
• Experience interacting with inmates is a plus.
• Ability to motivate and supervise inmates or team members effectively.
• Must obtain food safety certification.
• Ability to work independently with minimal supervision.
• Must demonstrate sound judgment and tact.
• Comply with basic safety procedures and policies.
• Must qualify for and maintain security clearance within the correctional facility.

This role may involve physical demands such as lifting, bending, pushing, pulling, and extended periods of walking and standing. Uniforms and Personal Protective Equipment (PPE) may also be required.

Become a part of our mission!
At Aramark, we are dedicated to making a positive impact for our employees and customers. If you are ready for a challenge and wish to develop your skills while contributing to a meaningful cause, we encourage you to apply!

Are you looking for a rewarding career that allows you to make a difference? Join our team as a Corrections Supervision Worker, where you will play a crucial role in managing food services within a correctional facility. Your efforts will ensure that meals are prepared to the highest standards while providing inmates with valuable training and oversight.

Key Responsibilities:

• Supervise and train inmates in food preparation and tray assembly to ensure compliance with production plans.
• Maintain adherence to food safety and sanitation standards, keeping the kitchen environment safe and clean.
• Participate in meal preparation and serving, ensuring timely and efficient service.
• Direct and assist inmates in proper cooking procedures and recipe usage.
• Address dietary requirements and ensure portion control.
• Conduct daily population counts and manage inventory effectively.
• Enforce security protocols, including proper storage of kitchen tools and equipment.

This role offers hourly compensation between $18.00 and $19.00, competitive benefits including medical, dental, vision, and retirement savings plans. We value diversity and support Fair Chance employment practices, allowing qualified applicants with arrest or conviction records to apply.

Join us in making a positive impact for our community and advance your career with Aramark. We look forward to receiving your application!

Salary: $24.18 Hourly
Location : TX, TX
Job Type: Full-Time
Department: JUVENILE SERVICES DETENTION
Opening Date: 06/17/2024
Closing Date: 10/31/ :59 PM Central
FLSA: Non-Exempt

Position Summary

The Juvenile Supervision Officer provides supervision and control of juveniles during intake, recreation, education, visitation, release, and all other aspects of detainment within the Juvenile Detention Center/Shelter. This position encourages orderly conduct and completes all necessary paperwork. This position also is responsible for maintaining safety and security by ensuring compliance with state standards, and departmental policy and procedure.
Essential Functions

• Maintains care, custody and control of residents in accordance with established procedures
• Prepares daily observation logs, daily reports, property records, security time checks, room-checks, and activity reports
• Provides direct supervision of juvenile, encourages orderly conduct, observes, and reports pertinent behavior of each juvenile in detention
• Supervises the serving of meals, laundering and exchange of clothing and bedding, as well as cleaning and sanitation within a secure facility
• Conduct door and perimeter checks, ensure key control, conduct room searches and perform pat-down and strip-searches
• Must conduct themselves in a manner that served as a positive role model to the residents at all times
• Ensures security and safety of the residents within the detention facility/Shelter
• Assists in orientating newly employed officers and relief officers in all phases of detention duties
• Prepare and/or set-up meals and clean kitchen as needed
• Maintain 80 hours biannually of approved training to maintain JSO certification
• Regular attendance and timeliness are required

LIMITATIONS AND DISCLAIMER: The above job description is meant to describe the general nature and level of work being performed; it is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required for the position.
Minimum Requirements

EDUCATION:
Required

• High school diploma or GED

Preferred

• An associate's degree from an accredited college in Criminal Justice, Sociology, or Psychology

SKILLS ~ EXPERIENCE:
Required

• Must be twenty-one (21) years of age
• Ability to provide instruction, coaching, guidance and orders to juveniles in a manner that creates a secure setting for all detainees
• Must be able to deal with the public on the telephone and in person and possess good interpersonal skills
• Must be skilled in handling the stress and the pressures of dealing with detained youth in a secure setting
• Must be able to communicate verbally and in writing with departmental staff
• Must be able to read and understand departmental policies and procedures
• Must be able to become a certified Juvenile Supervision Officer in accordance with the Texas Juvenile Justice Department standards
• In order to comply with the Texas Administration Code Section 343.432 (b) & (c) Gender Supervision Requirements, males highly preferred

Supplemental Information

ENVIRONMENTAL FACTORS:

• Work is performed mostly indoors in a 24-hour/7-day confined, security facility
• Frequent contact with the public, parents of clients, and hostile detainees
• May be exposed to blood borne pathogens and other bodily fluid

PHYSICAL DEMAND REQUIREMENTS:

• Standing, walking, and light lifting of supplies
• The individual must be able to physically restrain residents exhibiting disruptive behavior in a safe manner in accordance with the behavior management training
• Ability to pass a pre-employment physical
• Must be able to complete and pass pre-employment and random drug tests

HOURS / SPECIAL CONDITIONS:
This position works one of the following three shifts:
1st Shift: 7:00 a.m.-3:00 p.m.
2nd Shift: 3:00 p.m.-11:00 p.m.
3rd Shift: 11:00 p.m.-7:00 a.m.
This position may be required to work a flexible schedule based on the needs of the facility. Must be able to work weekends, holidays, and other shifts assigned by the Assistant Superintendent

McLennan County will conduct background checks on new hires that will include a criminal background check related to convictions and deferred adjudications in the past seven years and may include credit reports, motor vehicle records, employment records, and educational attainment. A conviction or deferred adjudication is not an automatic bar to employment. Each case is considered individually.
McLennan County offers a full range of employee benefit programs for eligible employees and their families. These programs include group health plans for medical with an option to open a Health Saving Account (HSA) with a County-paid contribution of $000 over a year. We offer dental and vision coverage, an Employee Assistance Program (EAP), life and long & short term disability insurance, flexible spending accounts for health care and dependent care accounts. Employees participate in the Texas County & District Retirement System (TCDRS) with a 2.50 County match for every 1.00 of employee contribution. In addition to these benefits we offer 12 paid holidays and a free gym membership program for health plan participants.

*Note: These benefits are for full time McLennan County employees only. Part time Mclennan County employees are only eligible to participate in the Retirement System. Community Supervision and Corrections Department (CSCD) employees recieve a different benefit package through the state.
01

I have earned a high school diploma or GED.

• Yes
• No

02

I am at least 21 years of age or older.

• Yes
• No

03

Have you ever been convicted of a felony or received deferred adjudication on a felony charge?

• Yes
• No

04

If you answered "yes" to having received a felony conviction or deferred adjudication on a felony charge, was the conviction or deferred adjudication within the last 10 years?

• Yes
• No

05

Are you currently on probation or parole?

• Yes
• No

06

If previously certified as a Juvenile Probation or Detention Officer, is your certification currently under revocation or suspension?

• Yes
• No

07

In the last 10 years have you been convicted of a misdemeanor for which you received jail time, or have you received probation for a misdemeanor for which jail time was a possible punishment?

• Yes
• No

08

Are you required to register as a sex offender under Chapter 62, Texas Code of Criminal Procedure?

• Yes
• No

09

Before applying, did you see an ad for this position on any of the following websites?

• Google
• Spotify
• Facebook

Required Question

Salary : $55,299.00 - $56,958.00 Annually
Location : San Marcos, TX
Job Type: Full-Time Regular
Job Number:
Department: Juvenile Detention Center
Opening Date: 10/02/2025

Description

Essential functions, as defined under the Americans with Disabilities Act, include the responsibilities, knowledge, skills, and other characteristics listed below. This list of responsibilities is ILLUSTRATIVE ONLY, and is not a comprehensive listing of all functions and tasks performed by positions in this class. To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Other duties may be assigned. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Summary
Provides supervision to juveniles in a careful and diligent manner to maintain the safety and security of the center, its staff and the juveniles assigned to the center.
Responsibilities

• Coordinates the movement of juveniles in a secure manner and supervising juveniles indoors and outdoors so that the center security is maintained.
• Conduct room searches and area searches for contraband and weapons, screens visitors for contraband, and test doors and other security equipment for proper operations.
• Provide continuous direct supervision of juveniles, to include: room checks, population counts, key and tool control and access to restricted or off limit areas.
• Provide written reports and documentation as described by policy and procedural requirements.
• Provides basic emergency medical treatment such as First Aid, CPR, etc.
• Perform crisis intervention and restraint when necessary and implement behavioral management when required.
• Responsible for the care, role modeling, and supervision of all youth assigned to his/her custody.
• Will perform other duties may be assigned by Shift Supervisors.

Education and/or Experience

• High School diploma preferred or general education degree (GED); and one to three months related experience preferred; or equivalent combination of education and experience.
• TJJD certification as a Juvenile Supervision Officer preferred.

Other Qualifications, Certificates, Licenses, Registrations

• Must be 21 years of age
• Class C driver's license.
• First Aid & CPR certification preferred.
• TJJD approved Physical Restraint Technique preferred.
• Must successfully complete and pass the following clearances:
  • Criminal History (TCIC/NCIC)
  • Sex Offender Registration Database Check
  • Driver's License
  • Pre-employment Drug Screen

We offer a complete benefits package to full-time employees including health care, dental, vision, retirement, deferred compensation plans, flexible spending accounts, life insurance, long-term disability, holidays, vacation, and sick leave.

Part-time employees who work less than 30 hours per week over the course of a year, receive some benefits on a pro-rated basis.

To learn more details, visit our

Base Hourly Pay: $ 22 per hour
Weeks per Year: 46
Hours Per Week: 40

Job Description:

This position is responsible for training staff and monitoring the implementation of CDI Head Start's Active Supervision policies and procedures in all Head Start and EHS classrooms. This position also models appropriate positive guidance, and Active Supervision techniques to ensure all children are safe, supervised and nurtured using CDI HS's required positive guidance techniques in every classroom.

Minimum requirement is a bachelor's degree in early childhood education, Child Development or other related* degree. Ideal candidate will have adequate training and experience in adult learning and in using assessment data to drive coaching strategies aligned with program performance goals which is typically at least two years of experience working with young children and families. Previous Head Start/Early Head Start experience preferred.

Location: This position will provide services to multiple locations.

Benefits:

Paid Vacation time and Sick Leave Medical/Dental/Vision Insurance coverage available first day of employment (for full time employees) $0.00 per month cost to employee for employee only Core Plan Health and Vision Insurance (for full time employees) 15.95 per month cost to employee for employee only Dental Insurance (for full time employees) Paid Holidays Paid Spring Break and Winter Break Qualifying employer for Public Service Loan Forgiveness and Perkins Loan Forgiveness programs. Tuition assistance to meet job requirements Paid trainings Employee Assistance Program Employee discount benefit program (LifeMart) 35,000 term AD&D life insurance at no cost to employee (for full time employees) Travel Connect medical support for assistance when you travel

Interested? To find out more, please visit:

CDI Head Start is an equal opportunity employer. Applicants are considered without regard to race, color, religion, sex, age, disability, or any other legally protected status.

**Work Location:**
Hartford, Connecticut, United States of America
**Hours:**
40
**Pay Details:**
$86,840 - $130,000 USD
TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our compensation policies and practices have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary based upon the candidate's skills and experience, job-related knowledge, geographic location, and other specific business and organizational needs.
As a candidate, you are encouraged to ask compensation related questions and have an open dialogue with your recruiter who can provide you more specific details for this role.
**Line of Business:**
TD Wealth
**Job Description:**
The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected, on a delegated basis, to manage the day-today supervisory, compliance and operational aspects of the business in order to achieve our strategic objectives for the Market(s).
**Depth & Scope:**
+ FINRA designated Supervisor (via Delegation from WML) for Registered/Associated Persons in supported Market(s)
+ Strategically partners with WML(s) to lead and develop supported Market(s)
+ Leads and implements business and firmwide control, supervisory and operational excellence initiatives with supported WML(s)
+ Ensures timely and effective response to Compliance, Central Supervision and Audit, Compliance or other Reviews
+ Ensures timely completions of required learnings, compliance training, new product or service trainings, etc
+ Ensures timely and effective completion of annual and new account reviews, high risk account reviews, etc
+ Addresses and resolves escalated Supervisory inquiries
+ Participates in New Hire interview process with a focus on Compliance, Control, Supervisory and Operational concerns
+ Manages all trade corrections in cooperation with Operations, Compliance and WMLs,
+ Reviews and approves Outside Business Activities in coordination with the WML(s)
+ Assists in the resolution of customer complaints
**Education & Experience:**
+ Bachelor's Degree preferred, 5+ industry experience
+ FINRA Series 7, 24 and 66 (or equivalent) required
+ 3+ yeas of relevant supervisory experience in brokerage, annuity, advisory, banking and lending activity
+ Broad knowledge base and experience in Financial Services with sound understanding of regulatory frameworks that apply to TD Wealth
+ Strong Control and Operational experience and knowledge
+ Leadership, communication and influencing skills to drive change
+ Ability to travel 50% of time
**OCC Language:**
+ This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA.
+ Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to _investigate_ the good character, business reputation, qualifications and experience of an applicant for registration _before_ applying to register the applicant with FINRA and filing the applicant's Form U4 with the CRD, and before representing on the applicant's Form U4 that it has conducted this investigation and verified the accuracy and completeness of the information contained in the applicant's Form U4; and the Firm's obligation to _verify_ the accuracy and completeness of the information contained on the applicant's Form U4, no later than 30 calendar days after the Form U4 is filed with FINRA.
+ Satisfactory results on a criminal background check, credit report check, civil litigation search, and regulatory agency or self-regulatory organization enforcement action search, and statements/certification from job applicant regarding administrative, civil, and/or criminal findings by any government agency/authority or self-regulatory organization, are required by federal law for this position.
**Physical Requirements:**
Never: 0%; Occasional: 1-33%; Frequent: 34-66%; Continuous: 67-100%
+ Domestic Travel - Occasional
+ International Travel - Never
+ Performing sedentary work - Continuous
+ Performing multiple tasks - Continuous
+ Operating standard office equipment - Continuous
+ Responding quickly to sounds - Occasional
+ Sitting - Continuous
+ Standing - Occasional
+ Walking - Occasional
+ Moving safely in confined spaces - Occasional
+ Lifting/Carrying (under 25 lbs.) - Occasional
+ Lifting/Carrying (over 25 lbs.) - Never
+ Squatting - Occasional
+ Bending - Occasional
+ Kneeling - Never
+ Crawling - Never
+ Climbing - Never
+ Reaching overhead - Never
+ Reaching forward - Occasional
+ Pushing - Never
+ Pulling - Never
+ Twisting - Never
+ Concentrating for long periods of time - Continuous
+ Applying common sense to deal with problems involving standardized situations - Continuous
+ Reading, writing and comprehending instructions - Continuous
+ Adding, subtracting, multiplying and dividing - Continuous
The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.
**Who We Are:**
TD is one of the world's leading global financial institutions and is the fifth largest bank in North America by branches/stores. Every day, we deliver legendary customer experiences to over 27 million households and businesses in Canada, the United States and around the world. More than 95,000 TD colleagues bring their skills, talent, and creativity to the Bank, those we serve, and the economies we support. We are guided by our vision to Be the Better Bank and our purpose to enrich the lives of our customers, communities and colleagues.
TD is deeply committed to being a leader in customer experience, that is why we believe that all colleagues, no matter where they work, are customer facing. As we build our business and deliver on our strategy, we are innovating to enhance the customer experience and build capabilities to shape the future of banking. Whether you've got years of banking experience or are just starting your career in financial services, we can help you realize your potential. Through regular leadership and development conversations to mentorship and training programs, we're here to support you towards your goals. As an organization, we keep growing - and so will you.
**Our Total Rewards Package**
Our Total Rewards package reflects the investments we make in our colleagues to help them and their families achieve their financial, physical and mental well-being goals. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Learn more ( Information:**
We're delighted that you're considering building a career with TD. Through regular development conversations, training programs, and a competitive benefits plan, we're committed to providing the support our colleagues need to thrive both at work and at home.
**Colleague Development**
If you're interested in a specific career path or are looking to build certain skills, we want to help you succeed. You'll have regular career, development, and performance conversations with your manager, as well as access to an online learning platform and a variety of mentoring programs to help you unlock future opportunities. Whether you have a passion for helping customers and want to expand your experience, or you want to coach and inspire your colleagues, there are many different career paths within our organization at TD - and we're committed to helping you identify opportunities that support your goals.
**Training & Onboarding**
We will provide training and onboarding sessions to ensure that you've got everything you need to succeed in your new role.
**Interview Process**
We'll reach out to candidates of interest to schedule an interview. We do our best to communicate outcomes to all applicants by email or phone call.
**Accommodation**
TD Bank is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, status as a protected veteran or any other characteristic protected under applicable federal, state, or local law.
If you are an applicant with a disability and need accommodations to complete the application process, please email TD Bank US Workplace Accommodations Program at . Include your full name, best way to reach you and the accommodation needed to assist you with the applicant process.
Federal law prohibits job discrimination based on race, color, sex, sexual orientation, gender identity, national origin, religion, age, equal pay, disability and genetic information.

Supervision Controls Associate
LocationStamford,United States
Job typePermanent
Contract typeFull Time
#R-
Our people work differently depending on their jobs and needs. From hybrid working to flexible hours , we have plenty of options that help our people to thrive.
This role is based in the United States and as such all normal working days must be carried out in the United States.
**Job description**
_This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business._
Join us as a Supervision Controls Associate in the US Risk and Controls Team
+ If you have a background in Supervision controls, then join our team in helping to anticipate and assess the potential impacts of risk across the bank
+ We'll look to you to proactively advise and support business and functional lines on topics of Supervisory controls and Unauthorised Trading risk mitigation, helping Business and Functional Heads to ensure that risk policies, standards and requirements are fully adhered to
+ In this highly collaborative role, you'll have an ideal platform for building your network and advancing your career, while helping to create a safer environment for the bank
**What you'll do**
You'll have the responsibility of supporting management in their identification and assessment of material risks, and in determining their position relative to agreed appetites. Working with senior stakeholders across the bank, you'll look to drive forward the development and delivery of remedial action plans where identified risks are considered out of appetite.
On top of this, you'll be supporting a culture of proactive and pre-emptive risk management and continuous improvement, and the attainment of operational risk objectives
In addition, you'll:
+ Deliver the global NWM Supervision and Unauthorised Trading (UT) Controls framework
+ Partner to manage the Supervision toolkit, including application changes and upgrades, working with other change projects to ensure the Supervision framework is appropriately integrated into the NWM risk and control framework
+ Be a subject matter expert on the NWM Supervisory Controls framework and Unauthorised Trading risk for NWM (US)
+ Supports the development and implementation of the NWM supervision and control frameworks to mitigate conduct, operational, and regulatory risks
+ Prepares recurring and ad-hoc reporting for governance meetings with relevant US Supervision and Unauthorised Trading risk updates
+ Responsible for delivery of new supervisor onboarding, including training and annual Supervision refresher training with the purpose of establishing first line risk & control requirements and awareness
+ Educating teams on the operational risk framework and our conduct risk obligations, supporting the business in operating and embedding them
+ Actively seeks external feedback, engaging with external stakeholders to ensure NWM implementation of supervision framework and US risk mitigation is aligned to our peers
+ Initiating and supporting thematic exploration, deep dives, read across and oversight of the risk profile linked to control and conduct failures and operational events
**The skills you'll need**
To be successful in this role, you'll need the ability to manage your own workflow to required deadlines. You'll also need excellent communication skills in order to work well within the team, as well as being able to negotiate with, and influence, stakeholders across an organisation.
You'll also need:
+ Undergraduate degree or equivalent professional qualification
+ Minimum 5 years of experience within the Financial Services Industry
+ An understanding of the relevant financial products and current developments within the financial marketplace
+ Knowledge of regulatory expectations around the supervision framework and strong understanding of unauthorised trading risk
+ Experience in Risk Management in 1 LOD or 2 LOD role, Operational Risk or Controls and Supervision & Conduct
+ Financial and other risk analysis and problem solving abilities
+ Experience of collaborative working, building relationships across multiple teams and levels
The expected base annual salary range for this position is $90,000 - $110,000 at the start ofemployment. Thisis not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
**It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex,** **pregnancy/childbirth,** **age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer -Disabled/Veteran - review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters** here ( **.**

Market Supervision Manager
San Jose, California
**To proceed with your application, you must be at least 18 years of age.**
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**To proceed with your application, you must be at least 18 years of age.**
Acknowledge ( Description:**
Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.
Merrill's Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America.
Merrill 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 Merrill, we empower you to bring your whole self to work. We value diversity in our thoughts, business, and within our employees and clients. Our Wealth Management team represents an array of different backgrounds and bring their unique perspectives, ideas and experiences, helping to create a work community that is culture driven, resilient, results focused and effective.
**Job Description:**
This job is responsible for a wide variety of delegated compliance, administrative, and business functions to support the Merrill Wealth Management Market Executives (MEs) overall managerial and supervisory responsibilities. Key responsibilities include supporting business objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks. Job expectations include working independently or with minimal guidance, while keeping the ME and Division Supervision Executive informed on significant matters.
The Market Supervision Manager (MSM) is a member of the Market Leadership Team, along with the Market Client Relationship Manager (CRM). The Market Supervision Manager (MSM) supports the Firm's business objectives and contributes to the Market's profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Additionally, they ensure Financial Advisors are properly licensed; respond to regulatory inquiries and resolve client concerns or complaints. Ultimately, the MSM protects the Firm, grows the business, and serves the client by proactively managing and mitigating risk.
**What you'll accomplish**
- Manage delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices
- This individual functions independently, or with minimal guidance, but must keep the Market Executive informed on significant matters and must determine when the Market Executive should be directly involved
- Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize risk
- Coach advisors in supporting the company strategy and continuing to grow their businesses.
**Responsibilities** :
- Performs, monitors, and demonstrates adherence to internal and external standards, policies, laws, rules, and regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel
- Manages day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank's compliance policies and procedures
- Coaches FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conduct
- Partners with FAs, CAs, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank's enterprise risk appetite
**Required Qualifications:**
- Currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses
- Series 3, 31 licenses, if warranted
- Minimum of 5+ years professional experience
- Proven ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products
**Key Qualifications for the role:**
- Ability to speak in terms of client needs and concerns, and coach Financial Advisors on aligning solutions to goals in a suitable and controlled way
- A deep appreciation and understanding of our client centric strategy
- Strong interpersonal skills to provide coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation
- Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk
- Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction
- Strong time management and organization skills with the ability to prioritize appropriately
**Desired Qualifications:**
- Bachelor's degree or equivalent work experience
- Market Supervision Manager experience, or completion of Merrill's Office Management Team Associate Development Program
**Skills:**
- Decision Making
- Influence
- Negotiation
- Problem Solving
- Risk Management
- Adaptability
- Business Acumen
- Collaboration
- Oral Communications
- Relationship Building
- Business Operations Management
- Client Solutions Advisory
- Planning
- Talent Development
- Written Communications
The following laws or regulations restrict or prohibit the hiring of individuals with certain specified criminal history for the position: FDIC; FINRA. (CA only)
**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.
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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.
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.