Merrill Private Wealth Supervision Manager

2 weeks ago

Dallas, United States Disability Solutions 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.

Merrill's 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 from transparency. Our trusted 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.

Job Description:
Merrill Private Wealth Division provides comprehensive wealth management services to affluent and high-net-worth clients along with retirement and benefit plan services, philanthropic solutions and asset management to individuals and institutions. The Private Wealth Supervision Managers role is to supervise our Private Wealth advisors, and clients to ensure full compliance with laws, and policies while focusing on the needs of Ultra High Net Worth Families. These managers are client centric leaders in the organization. They are key partners with clients and Private Wealth Advisors in risk management to ensure risk is appropriately managed. The Private Wealth 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 Regional Managing Director and coaching the Advisor. Their functions are related to the Regional Managing Directors overall responsibilities for the branch offices delegated to the Private Wealth Supervision Manager. In addition to their primary functions, the Private Wealth Supervision Manager will partner with and backup the Client Relationship Manager. The Private Wealth Supervision Manager 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 Private Wealth Supervision Manager partners with Centralized Supervision. 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.

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
  • The ideal candidate is a self-motivated, client centric individual who has:
  • Series 7, 66, 9, 10 (or equivalent) Licenses required
  • Series 3, 31 licenses, if warranted
  • 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 Private Wealth 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 Private Wealth 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
  • 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:
  • Bachelor's degree or equivalent work experience


Skills:
  • Decision Making
  • Influence
  • Negotiation
  • Problem Solving
  • Risk Management
  • Adaptability
  • Business Acumen
  • Collaboration
  • Oral Communications
  • Relationship Building
  • Business Operations Management
  • Client Solutions Advisory
  • Planning
  • Talent Development
  • Written Communications


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

Shift:
1st shift (United States of America)

Hours Per Week:
40

  • Financial Research Associate

    2 days ago

    Dallas, Texas, United States Corient Private Wealth LLC Full time

    Are you looking for a career that combines your passion for finance with your desire to make a real impact? Corient Private Wealth LLC is seeking a Financial Research Associate to join our team and help us deliver exceptional results for our clients.Job DescriptionIn this role, you will work closely with our portfolio management team to conduct research and...

  • Wealth Management Specialist

    3 days ago

    Dallas, United States The Bank of America Corporation Full time

    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 Management, Wealth, Specialist, Financial Advisor, Client Service, Business Development, Banking

  • Wealth Management Specialist

    1 day ago

    Dallas, United States Disability Solutions 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,...

  • Wealth Management Consultant

    2 weeks ago

    Dallas, Texas, United States Tolleson Wealth Management Full time

    About the RoleWe are seeking an experienced Wealth Management Consultant to join our team at Tolleson Wealth Management. As a key member of our Client Advisory Team, you will play a critical role in delivering exceptional client service and driving business growth.Job OverviewThis is a highly rewarding opportunity for a motivated and results-driven...

  • Wealth Management Advisor Position

    3 weeks ago

    Dallas, Texas, United States Tolleson Wealth Management Full time

    Job Title: Wealth Management AdvisorAbout Us:Tolleson Wealth Management is a reputable firm dedicated to providing exceptional wealth management services. We are seeking an experienced wealth management professional to join our team.Job Description:The primary role of this position is to serve as a project manager for client engagements, overseeing the...

  • Senior Portfolio Development Analyst

    3 days ago

    Dallas, Texas, United States Corient Private Wealth LLC Full time

    Corient Private Wealth LLC is seeking a highly skilled and motivated individual to fill the role of Senior Portfolio Development Analyst. This position will be responsible for assisting in the evaluation and selection of investment managers across various asset classes and investment vehicles.Job DescriptionThis is a dynamic and challenging opportunity that...

  • Wealth Management Director

    2 weeks ago

    Dallas, Texas, United States Tolleson Wealth Management Full time

    Company OverviewTolleson Wealth Management is a leading wealth management firm dedicated to serving high-net-worth and ultra-high-net-worth families.

  • Asset & Wealth Management, Private Credit- Direct Lending, Associate, Dallas

    2 weeks ago

    Dallas, United States The Goldman Sachs Group, Inc. Full time

    A career with Goldman Sachs Asset Management is an opportunity to help clients across the globe realize their potential, while you discover your own. As part of one of the worlds leading asset managers with over $2 trillion in assets under supervisi Management, Wealth, Associate, Lending, Private, Credit

  • Wealth Management Advisor

    4 weeks ago

    Dallas, United States The KXN Full time

    Take Your Career to the Next Level with a Leading Wealth Management Firm!About the RoleThe KXN is working closely with a reputable wealth management firm in Dallas, TX, who is seeking an experienced and client-focused Wealth Advisor. In this role, you will be responsible for building and nurturing strong, long-term relationships with high-net-worth clients....

  • Investment Manager Research Intern, Portfolio Strategy

    6 months ago

    Dallas, United States Corient Private Wealth LLC Full time

    Join a team that values your ambition and empowers your growth At Corient, we help high- and ultra-high-net-worth individuals and families to enjoy a full life, while enabling them to preserve their wealth for future generations, and provide for the people, causes and communities they care about. We focus on exceeding expectations, simplifying lives, and...

  • Associate Wealth Advisor

    1 week ago

    Dallas, United States Bessemer Trust Company Full time

    Job Summary:Scroll down to find an indepth overview of this job, and what is expected of candidates Make an application by clicking on the Apply button.The Associate Wealth Advisor will work closely with Senior Wealth Advisors and serve as the strategic liaison in helping to identify ultra high net worth prospects.Responsibilities:Develop strategies with...

  • Associate Wealth Advisor

    1 week ago

    Dallas, United States Bessemer Trust Company Full time

    Job Summary:Scroll down to find an indepth overview of this job, and what is expected of candidates Make an application by clicking on the Apply button.The Associate Wealth Advisor will work closely with Senior Wealth Advisors and serve as the strategic liaison in helping to identify ultra high net worth prospects.Responsibilities:Develop strategies with...

  • Tax Manager | Private Client

    4 weeks ago

    Dallas, United States FORVIS Full time

    Description & Requirements Forvis Mazars' Private Client tax advisors provide sophisticated tax compliance, consulting, and planning services to individuals, multi-generational families, fiduciaries, and more. Our professionals include CPAs and JDs. Partnering with our financial planners, Wealth Strategists, and Innovation teams expands your flexibility to...

  • Strategic Wealth Management Strategist

    2 weeks ago

    Dallas, Texas, United States Integrity Marketing Shared Services Center Full time

    About This OpportunityAre you a strategic and analytical professional with a passion for wealth management?We are seeking a Strategic Wealth Management Strategist to join our team at Integrity Marketing Shared Services Center in Dallas, Texas.Job SummaryThis is an exciting opportunity to work as a key member of our Wealth Management Strategy team,...

  • Wealth Management Coordinator

    3 days ago

    Dallas, Texas, United States Farther Full time

    Join Our TeamFarther is a collaborative team of entrepreneurs passionate about helping clients and teammates achieve more. We're looking for a Client Experience Associate to join our Dallas-based team.As a member of our client experience team, you will play a crucial role in delivering a flawless wealth management experience for advisors and clients. You'll...

  • Financial Planning Manager

    2 days ago

    Dallas, Texas, United States Tolleson Wealth Management Full time

    Job OverviewTolleson Wealth Management seeks a highly skilled Financial Planning Manager to lead our team in delivering exceptional wealth management services to clients.Estimated Salary:$120,000 - $180,000 per yearAbout the RoleServe as project manager for client engagements, overseeing the successful completion of projects.Provide expert advice on personal...

  • U.S. Private Bank

    6 days ago

    Dallas, United States JPMorgan Chase Full time

    We are actively looking for exceptionally talented individuals who are collaborative, confident and motivated to provide a first-class experience to clients within J.P. Morgan's U.S. Private Bank. If you have an entrepreneurial mindset and are looking to constantly challenge yourself, J.P. Morgan is the place for you. You will be working alongside a team of...

  • Wealth Management Associate

    2 days ago

    Dallas, Texas, United States International Search Consultants Full time

    Job OverviewInternational Search Consultants is partnering with a prominent Wealth Manager (RIA) with offices throughout the U.S. to find an experienced Investment Advisory Associate.The firm specializes in providing customized investment management and investment advisory services to Ultra-High Net Worth individuals, families, trusts, foundations, and...

  • Wealth Management Advisor

    7 months ago

    Dallas, United States Sunflower Bank Full time

    Primary Responsibilities   Develop customized financial planning and wealth management strategies aligned with client goals and circumstances. Identify, solicit, and cultivate new relationships with high-net-worth individuals and families, professional service companies, non-profit and foundation clients. Deliver high quality client service as well...

  • Strategic Wealth Management Leader

    6 days ago

    Dallas, Texas, United States Integrity Marketing Shared Services Center Full time

    As a Strategic Wealth Management Leader at Integrity Marketing Shared Services Center, you will play a key role in driving business growth and effectiveness. This dynamic position requires a unique blend of financial expertise, analytical skills, and strategic insight.About the RoleLead organizational governance support to ensure smooth operations.Analyze...