Merrill Market Supervision Manager

1 month ago

Albuquerque, New Mexico, United States Bank of America Full time

Job Description:

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.

One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We re devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.

Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization.

Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us

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. The 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. 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 officesThis 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 involvedMonitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize riskCoach 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 personnelManages day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank's compliance policies and proceduresCoaches FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conductPartners with FAs, CAs, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank's enterprise risk appetiteRequired 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 licensesSeries 3, 31 licenses, if warrantedMinimum of 5+ years professional experienceProven 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 productsKey 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 wayA deep appreciation and understanding of our client centric strategyStrong interpersonal skills to provide coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentationStrong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate riskDemonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and convictionStrong time management and organization skills with the ability to prioritize appropriatelyPrefer Market Supervision Manager experience, or completion of Merrill s Office Management Team Associate Development ProgramDesired Qualifications:Bachelor's degree or equivalent work experienceMarket Supervision Manager experience, or completion of Merrill's Office Management Team Associate Development Program Skills:Decision MakingInfluenceNegotiationProblem SolvingRisk ManagementAdaptabilityBusiness AcumenCollaborationOral CommunicationsRelationship BuildingBusiness Operations ManagementClient Solutions AdvisoryPlanningTalent DevelopmentWritten CommunicationsShift:1st shift (United States of America)Hours Per Week: 40

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