Bank Of America Sr Business Controls Officer 

United States, New York, New York 

418233355

Position Description/Responsibilities:

Candidate must be able to thrive in a fast-paced and high-pressure environment with primary responsibilities being to:

• Work within a regional GM BCO team to review, disposition and investigate Equity Trade Surveillance alerts;
• Work with and escalate to the Central Trade Surveillance team within the GM BCO function, escalating where further investigation is required, where gaps are discovered or proposing changes/improvements to surveillance scenarios to reduce false positives alerts;
• Work as a team to maintain global transparency and consistency (where appropriate) of roles, processes and accountabilities, and enhance governance and associated documentation;
• Provide support to those interacting with Regulatory agencies (e.g. OCC, FINRA, SEC, PRA, FCA, etc.) as required;
• Work with global GM BCO and internal stakeholders to identify control gaps, design, implement and track through SIAIs remedial actions to close and continue to improve conduct and culture within the business and wider organization;
• Provide BCO input into Enterprise and Global Markets policies and procedures;
• Represent Global Markets BCO at various committees, forums and meetings as required; and
• Act as an escalation point to BCO and local FLU leadership for any items that require escalation, awareness or approval.

Experience required:

• 5+ years of demonstrable Equity trade surveillance alert review and dispositioning;
• Bachelor's degree or equivalent work experience preferred;
• Understanding of Market Misconduct behaviors across Equity Trading and Sales business;
• Ability to work collaboratively across multiple stakeholders and deliver results in a timely manner;
• Self-starter with ability to multitask and manage competing priorities, managing effectively in a dynamic environment;
• Excellent verbal and written communication skills with the ability to articulate complex concepts in a clear and concise manner;
• Attention to detail and high standard for quality work product;
• Commitment to provide timely and accurate information to BCO colleagues as required;
• Ability to think creatively to solve problems and anticipate potential questions or issues;
• Effective time management and prioritization, strong multi-tasking abilities;
• Excellent judgment in handling sensitive and confidential information; and
• FINRA Series 7, 24 & 63 licenses preferred but not a pre-requisite.

1st shift (United States of America)