Merrill Private Wealth Supervision Manager

4 days ago

San Francisco, United States Bank of America Full time

Merrill Private Wealth Supervision Manager

San Francisco, California

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

Position Overview:

The Private Wealth Supervision Manager (PWSM) position reports to the Merrill Private Wealth Business Segment Supervision Executive (BSSE), with dual reporting to the Merrill Private Wealth Management Regional Managing Director (RMD).

The PWSM’s functions as a member of the market leadership team, responsible for a wide variety of delegated compliance, administrative and business functions related to the MPWM RMD's overall managerial responsibilities for parent and associate offices. He or she functions independently, or with minimal guidance, but must keep the PWM RMD informed on significant matters and must determine when the PWM RMD should be directly involved. The PWSM supports the company's business objectives and contributes to market profitability by influencing Private Wealth Advisor business practices in ways that minimize regulatory, financial, and reputational risks.

Required Skills: MUST have these skills to be minimally qualified

  1. The ideal candidate is a self-motivated, client-centric individual who has:
  2. Series 7, 66, 9, 10 (or equivalent) Licenses required
  3. Series 3, 31 licenses, if warranted
  4. 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
  5. Ability to speak in terms of client needs and concerns, and coach Private Wealth Advisors on aligning solutions to goals in a suitable and controlled way
  6. A deep appreciation and understanding of our client-centric strategy
  7. Strong interpersonal skills to provide coaching to Private Wealth Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation
  8. Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk
  9. Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction
  10. Strong time management and organization skills with the ability to prioritize appropriately
  11. If currently an internal associate, completion of Associate Office Management Team Development program and/or currently a Merrill Lynch Market Supervision Manager strongly preferred

Desired Skills:

  1. Bachelor’s degree or equivalent work experience

Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent

The following laws or regulations restrict or prohibit the hiring of individuals with certain specified criminal history for the position: FDIC; FINRA.

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 and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws.

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