Bank Of America Wealth Management Client Care Center Excellence 

United States, North Carolina, Charlotte 

697783027

Job Description:

Key Responsibilities:

• Assist in the research, resolution and settlement of Merrill broker-dealer complaints which may involve consultation and coordination with the Legal Department, Operations, Finance, the Line of Business Supervisors & Registered Representatives, Insurance Carriers and Executive Management as well as clients, attorneys, and regulators.
• Path for escalation for broker-dealer complaints sent to executive leaders.
• Learn and effectively communicate about a wide variety of products and services.
• Responsible for the management and validation of complaint records, files, documents, and data.
• Ensure regulatory filings (U4/U5 and 4530) associated with Complaint management are made quickly and accurately.
• Develop and manage relationships across the Enterprise and with a wide variety of partners based on trust, teamwork, and knowledge.
• Perform additional functions to support the priorities aligned to risk mitigation.

Required Skills:

• 5+ years of retail brokerage, compliance, legal and/or supervisory experience within a brokerage branch office or financial space.
• Strong Wealth Management Product knowledge including Life Insurance and Alternative Investments and Annuities
• Familiarity with handling brokerage customer complaints and the regulatory reporting required in the same.
• Shows commitment to excellent attendance with proven reliability and can adhere to the agreed upon work schedule
• Strong analytical ability and organizational skills with ability to demonstrate sound judgment and act with speed.
• Highly organized, detail oriented and self-motivated with ability to investigate and resolve complex problems.
• Ability to prioritize issues and handle confidential matters and sensitive information in a responsible manner and timely fashion
• Strong communications skills, great grammar, and the ability to communicate with management, peers, and client
• Ability to learn and adapt to new information and technology platforms
• Minimum of an intermediate level of proficiency with computers and current technology including MS Office Suite
• FINRA series 7, 66, 9/10/24, Insurance License, JD or equivalents a plus

1st shift (United States of America)