Compliance & Operational Risk Manager - Americas Control Room Manager at Bank of America Yo

Job Description

Bank of America seeks a Compliance & Operational Risk Manager – Americas Control Room Manager to lead the Americas Control Room function, ensuring compliance with applicable laws and regulations and upholding the firm’s information barrier framework.

• Manage the Americas control room function, including oversight of restricted lists, watch lists, global research reports, wall‑crossings, MNPI, trade surveillance, and trade pre‑clearance.
• Supervise and manage a regional team of 10‑12 control room members, providing training, performance management, and leadership support.
• Serve as the primary point of contact for control room matters within the Americas region, liaising with regulators, business leaders, and other stakeholders as needed.
• Implement and maintain global policies and procedures to ensure consistent application of information barrier controls.
• Oversee daily operational controls, including deal team monitoring, conflicts management, and restricted list maintenance.
• Partner with legal, compliance, and business teams to assess risks related to transactions, research publications, and market activities.
• Identify process enhancements and lead regional initiatives to improve control room efficiency and effectiveness.
• Support global control room leadership on cross‑regional projects and regulatory inquiries.
• Assess risks and effectiveness of Front Line Unit processes and controls to ensure compliance with applicable laws, rules, and regulations, while responding to regulatory inquiries, audits, and examinations.
• Engage in activities to provide independent compliance and operational risk oversight of FLU or Control Function performance and vendor relationships in alignment with enterprise policies.
• Identify and escalated problems or issues that arise and drive actions to address root causes that lead to compliance risk issues and/or operational risk losses.
• Manage inventory of processes, risks, controls, and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities.
• Assist in the development of independent risk management reporting for respective area(s) of coverage as input into country/regional governance and management routines.
• Analyze and interpret applicable laws, rules, and regulations to provide clear and practical advice to stakeholders and manage risks.
• Review and challenge FLU/CF process, risk, single process inventory, and self‑assessment related to themes or trends, while monitoring the regulatory environment to identify regulatory changes applicable to area(s) of coverage.

• Opportunity & Inclusion Champion: models an inclusive environment for employees and clients, aligned to company Great Place to Work goals.
• Manager of Process & Data: demonstrates deep process knowledge, operational excellence and innovation through a focus on simplicity, data‑based decision making and continuous improvement.
• Enterprise Advocate & Communicator: communicates enterprise decisions, purpose, and results, and connects to team strategy, priorities and contributions.
• Risk Manager: ensures proper risk discipline, controls and culture are in place to identify, elevate and debate issues.
• People Manager & Coach: provides inspection, coaching and feedback to motivate, differentiate and improve performance.
• Financial Steward: actively manages expenses and budgets in alignment with objectives, making sound financial decisions.
• Enterprise Talent Leader: assesses talent and builds bench strength for roles across the organization.
• Driver of Business Outcomes: delivers results by effectively prioritizing, inspecting and appropriately delegating team work.

• Bachelor’s degree in Finance, Law, Business or related field (advanced degree or certification a plus).
• 10+ years’ experience preferably in a similar role, covering fundamental equity, credit, capital markets or similar products.
• Practical knowledge and experience of deal structures such as IPOs, secondary offerings, PIPEs, debt offerings, mergers and acquisitions, private placements, and rights issues.
• Experience in maintaining control room…