Merrill Market Supervision Manager

4 weeks ago

St Paul, United States CareerBuilder Full time

Job Description:
Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.
Merrills Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs.We believe trust comes fromtransparency.Ourtrusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America.
At Merrill, we empower you to bring your whole self to work. We value diversity in our thoughts, business, and within our employees and clients. Our Wealth Management team represents an array of different backgrounds and bring their unique perspectives, ideas, and experiences, helping to create a work community that is culture driven, resilient, results focused and effective.

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 youll accomplish
Manage delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices
This 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 involved
Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize risk
Coach advisors in supporting the company strategy and continuing to grow their businesses.

Key Qualifications for the role:
Candidates are

required

to currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses

Series 3, 31 licenses, if warranted
Minimum 5+ years professional experience required
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
Ability to speak in terms of client needs and concerns, and coach Financial Advisors on aligning solutions to goals in a suitable and controlled way
A deep appreciation and understanding of our client centric strategy
Strong interpersonal skills to provide coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation
Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk
Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction
Strong time management and organization skills with the ability to prioritize appropriately
Prefer Market Supervision Manager experience, or completion of Merrills Office Management Team Associate Development Program

Desired Qualifications:
Bachelors degree or equivalent work experience
The Market Supervision Manager is a direct report to the Division Supervision Executive (DSE), with a matrix reporting line to the Market Executive (ME). These managers are client centric leaders in the organization. They are key partners with clients and Financial Advisors in risk management to ensure risk is appropriately managed. The Market Supervision Manager is an integral member of the Office Management Team (OMT), and is responsible for a variety of supervision, compliance, and risk management functions. Many of these functions are focused on managing risk in client outcomes, partnering with the Director, and coaching the Financial Advisor. The functions are related to the Market Executives overall responsibilities for the branch offices within the Market and are delegated to the Market Supervision Manager. In addition to their primary functions, the Market Supervision Manager will partner with and backup the Client Relationship Manager. The MSM operates with minimal guidance, monitors adherence to policies, acts as the independent voice on risk, supports the companys business objectives, and contributes to branch office profitability by influencing FA business practices in ways that minimize regulatory, financial, and reputational risks. In addition, the Market Supervision Manager partners with the Division Supervision Executive on many supervisory functions. Collectively, the branch and central supervision teams are responsible for ensuring robust supervision is conducted and ensuring solutions around client needs and concerns are managed in alignment with client goals.
Please be advised that under current company policy, Merrill Wealth Management does not sponsor a visa petition or other work authorization for this position.
Shift:
1st shift (United States of America)

Hours Per Week:
40
#J-18808-Ljbffr

  • Document Specialist

    7 days ago

    North St Paul, United States Toppan Merrill Full time

    Job Description: Toppan Merrill is excited to announce that we are expanding our Customer Care department. Our talented team is looking for experienced Document Specialists at all levels to join us across multiple locations and shifts. If you are looking for a new opportunity, we encourage you to apply. About the Role A Document Specialist at Toppan Merrill...

  • Document Specialist

    2 weeks ago

    North St Paul, United States Toppan Merrill LLC Full time

    Job Description: Toppan Merrill is excited to announce that we are expanding our Customer Care department. Our talented team is looking for experienced Document Specialists at all levels to join us across multiple locations and shifts. If you are looking for a new opportunity, we encourage you to apply. About the Role A Document Specialist at Toppan Merrill...

  • Oracle EBS/Cloud Business Systems Analyst

    4 weeks ago

    Saint Paul, Minnesota, United States Toppan Merrill LLC Full time

    Job Description:About the Role:We are currently seeking a Financial Oracle EBS / Fusion Cloud ERP Business Systems Analyst . This role will be part of a team that currently supports Oracle EBS R12 Financials with a Cloud ERP (Fusion) and Cloud EPM migration project expected to start late in 2024. This role will be responsible for analysis of business systems...

  • Oracle EBS/Cloud Business Systems Analyst

    1 month ago

    Saint Paul, United States Toppan Merrill LLC Full time

    Job Description: About the Role: We are currently seeking a Financial Oracle EBS / Fusion Cloud ERP Business Systems Analyst . This role will be part of a team that currently supports Oracle EBS R12 Financials with a Cloud ERP (Fusion) and Cloud EPM migration project expected to start late in 2024. This role will be responsible for analysis of business...

  • Digital Marketing Manager

    4 weeks ago

    St Paul, United States Howtoecommerce Full time

    Want to build a stronger, more sustainable future and cultivate your career? Join Cargill’s global team of 160,000 employees who are committed to safe, responsible and sustainable ways to nourish the world. This position is in Cargill’s food ingredients and bio-industrial business, where we anticipate trends around taste, nutrition and safety to innovate...

  • Marketing Manager

    2 weeks ago

    St Paul, United States Mille Lacs Health System Full time

    Summary Responsible for all Marketing programs and projects throughout Mille Lacs Health System and helps generate awareness and preference for MLHS services. Creates, plans, coordinates and implements appropriate media platforms and provides promotional support as appropriate. Supports MLHS in achieving its strategic plans by supporting all healthcare...

  • Associate Marketing Manager

    3 days ago

    St Paul, United States Schwan's Full time

    Associate Marketing Manager - Enterprise Marketing At Schwan’s Company, the opportunities are real, and the sky is the limit; this isn’t just a job, it’s a seat at the table. Around here, every job matters, every voice counts, and every person contributes in a big way. As part of our front lines, we look to you to execute business, build relationships,...

  • Digital Marketing Manager

    2 weeks ago

    St Paul, United States Marvin Full time

    Digital Marketing Manager ID 2024-3746 Department Marketing Position Type Regular Location US-MN-Eagan Job Overview We are looking for a Marketing Manager, Digital to lead and align strategic marketing initiatives that result in effective brand, promotional and product marketing plans that...

  • Digital Marketing Manager

    4 days ago

    St Paul, United States Marvin Full time

    Digital Marketing Manager ID 2024-3746 Department Marketing Position Type Regular Location US-MN-Eagan Job Overview We are looking for a Marketing Manager, Digital to lead and align strategic marketing initiatives that result in effective brand, promotional and product marketing plans that...

  • Digital Marketing Manager

    2 days ago

    St Paul, United States Marvin Full time

    Job Overview: We are looking for a Marketing Manager, Digital to lead and align strategic marketing initiatives that result in effective brand, promotional and product marketing plans that expand brand relevance, create engagement, increase consideration, and drive sales. The ideal candidate for this role is a digital marketing expert with a proven track...

  • CPG Brand Marketing Manager

    4 weeks ago

    St Paul, United States Thousand Hills Lifetime Grazed Full time

    Job Description: We are looking for a highly skilled Brand Marketing Manager who will be responsible for crafting and executing effective brand strategies/tactics to drive growth and increase brand awareness. The ideal candidate will have a proven track record of developing and implementing successful CPG marketing campaigns that align with the company's...

  • Marketing Digital Program Manager

    14 hours ago

    St Paul, United States Marvin Windows & Doors Full time

    As a Marketing Digital Program Manager, you will own and manage Infinity from Marvin's digital experience, while collaborating with leadership in defining the overall strategic direction. This is a unique position, offering a blend of strategic owner Program Manager, Marketing, Digital, Manager, Program, Social Media, Manufacturing, Business Services

  • Marketing Digital Program Manager

    13 hours ago

    St Paul, United States Marvin Full time

    Marketing Digital Program Manager ID 2024-3930 Department Marketing Position Type Regular Location US-MN-Eagan Job Overview As a Marketing Digital Program Manager, you will own and manage Infinity from Marvin's digital experience, while collaborating with leadership in defining the overall...

  • Marketing Digital Program Manager

    2 days ago

    St Paul, United States Marvin Full time

    Job Overview: As a Marketing Digital Program Manager, you will own and manage Infinity from Marvins digital experience, while collaborating with leadership in defining the overall strategic direction. This is a unique position, offering a blend of strategic ownership and day-to-day tactical execution. You will bring a strong ability to build effective...

  • CRM Marketing Specialist

    3 weeks ago

    St Paul, United States 24 Seven Talent Full time

    CRM Marketing Specialist Duration: 12-month contract Location: Hybrid (in office Tuesdays, this may flex) The CRM Marketing Specialist plays a crucial role in enhancing the digital experience for our client's patients. This position is responsible for developing and executing segmented and health system-specific patient-facing email communications, service...

  • Marketing Manager

    2 days ago

    St Paul, United States Schwan's Full time

    Job Description Marketing Manager - Food Service Business Minneapolis-St. Paul-Bloomington, Minnesota Description (Overview) At Schwan’s Company, the opportunities are real, and the sky is the limit; this isn’t just a job, it’s a seat at the table. Around here, every job matters, every voice counts, and every person contributes in a big way. We look to...

  • Global Product Manager

    23 hours ago

    St. Paul, United States Abbott Laboratories Full time

    Abbott Vascular provides innovative, minimally invasive and cost-effective products for treatment of vascular disease. Our extensive portfolio includes coronary drug-eluting & bare metal stents, guide wires, balloon dilatation catheters, imaging catheters and software, vessel closure devices, peripheral stents, peripheral & coronary atherectomy devices, and...

  • Senior Marketing Manager

    2 weeks ago

    St Paul, United States Golden Sun Insights, Inc. Full time

    Greater Minneapolis-St. Paul Area Contact Info Marketing professional and creative sales driver with high-level expertise in the fresh… Lately, I’ve been asked to submit a headshot for a variety of reasons. A few speaking opportunities. An org chart. An award.And each time, I only… I’m happy to share that I’m starting a new position as Associate...

  • Marketing Coordinator

    2 weeks ago

    St Paul, United States TytoCare Full time

    TytoCare works with leading health plans and providers worldwide, to roll out Home Smart Clinic solutions that enable accessible, high-quality primary care from home, with no compromises. The Home Smart Clinic solutions include remote physical exams that work across primary care modalities and can be tailored to any cohort or population. Together with Tyto...

  • Marketing Coordinator

    2 weeks ago

    St Paul, United States TytoCare Full time

    TytoCare works with leading health plans and providers worldwide, to roll out Home Smart Clinic solutions that enable accessible, high-quality primary care from home, with no compromises. The Home Smart Clinic solutions include remote physical exams that work across primary care modalities and can be tailored to any cohort or population. Together with Tyto...