Merrill Market Supervision Manager

4 weeks ago

Pasadena, 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:

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. 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 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.


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 personnel
  • Manages day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank's compliance policies and procedures
  • Coaches FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conduct
  • Partners with FAs, CAs, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank's enterprise risk appetite


Required 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 licenses
  • Series 3, 31 licenses, if warranted
  • Minimum of 5+ years professional experience
  • 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


Key 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 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


Desired Qualifications:
  • Bachelor's degree or equivalent work experience
  • Market Supervision Manager experience, or completion of Merrill's Office Management Team Associate Development Program


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


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

Pay Transparency details

US - CA - Pasadena - 800 E COLORADO BLVD (CA9810)

Pay and benefits information

Pay range

$110,000.00 - $155,000.00 annualized salary, offers to be determined based on experience, education and skill set.

Discretionary incentive eligible

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

Benefits

This role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.

  • Merrill Financial Solutions Advisor

    4 weeks ago

    Pasadena, 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,...

  • Merrill Financial Solutions Advisor

    12 hours ago

    Pasadena, United States National Black MBA Association 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 Advisor

    2 weeks ago

    Pasadena, California, United States Disability Solutions Full time

    Wealth Management at Disability SolutionsMerrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. As a Merrill Financial Solutions Advisor with Disability Solutions, you will help clients pursue the life they envision through a personal relationship...

  • Bakery Operations Manager at Sprouts Farmers Market

    2 weeks ago

    Pasadena, California, United States Sprouts Farmers Market Full time

    About the RoleThe Assistant Bakery Manager is responsible for assisting the Bakery Manager in leading the Bakery team and ensuring exceptional customer satisfaction. This role requires strong leadership and communication skills, as well as the ability to work in a fast-paced environment.Key ResponsibilitiesCollaborate with the Bakery Manager to develop and...

  • Marketing Manager

    2 days ago

    Pasadena, United States Forensis Group INC Full time

    Job DescriptionJob DescriptionDescription:The Marketing Manager will coordinate and develop marketing policies, programs, and campaigns in accordance with the company’s strategic direction and mission. They will oversee all business development and marketing campaigns, implement strategy and promote ForensisGroup in traditional and digital marketing,...

  • Assistant Bakery Store Manager at Sprouts

    2 weeks ago

    Pasadena, California, United States Sprouts Farmers Market Full time

    Bakery Operations ManagementThe Assistant Bakery Manager position at Sprouts Farmers Market involves overseeing bakery operations and ensuring high-quality products and services are delivered to customers. Key responsibilities include collaborating with the Bakery Manager, managing inventory, and mentoring team members.Main ResponsibilitiesWork closely with...

  • Marketing Operations Manager

    1 day ago

    Pasadena, United States KBKG Full time

    KBKG is a leading and trusted provider of tax solutions to CPAs and businesses. KBKG is committed to creating substantial tax savings for business owners, building owners, architects, engineers, and CPAs.Salary 140-150K annually Job Description The Manager, Marketing Operations proactively provides data-driven insight and recommendations to Marketing and...

  • Digital Marketing Manager

    2 weeks ago

    Pasadena, California, United States Y-Planet, Inc Full time

    Job Title: Digital Marketing ManagerAt Y-Planet, Inc., we're looking for a highly skilled Digital Marketing Manager to oversee the management of our TikTok E-commerce hosts. As a key member of our team, you'll be responsible for creating shoppable live stream content and developing scripts to drive sales.The ideal candidate will have a strong understanding...

  • Corporate & Brand Marketing Manager

    4 weeks ago

    Pasadena, United States Arrowhead Pharmaceuticals Full time

    Job DescriptionJob DescriptionArrowhead Pharmaceuticals, Inc. (Nasdaq: ARWR) is a clinical stage biopharmaceutical company that develops medicines that treat intractable diseases by silencing the genes that cause them. Using a broad portfolio of RNA chemistries and efficient modes of delivery, Arrowhead therapies trigger the RNA interference mechanism to...

  • Corporate & Brand Marketing Manager

    2 days ago

    Pasadena, United States Arrowhead Pharmaceuticals Full time

    Job DescriptionJob DescriptionArrowhead Pharmaceuticals, Inc. (Nasdaq: ARWR) is a clinical stage biopharmaceutical company that develops medicines that treat intractable diseases by silencing the genes that cause them. Using a broad portfolio of RNA chemistries and efficient modes of delivery, Arrowhead therapies trigger the RNA interference mechanism to...

  • Senior Marketing Manager

    2 weeks ago

    Pasadena, California, United States Arrowhead Pharmaceuticals Full time

    We are seeking a highly skilled and experienced Senior Marketing Manager to lead our Plozasiran brand marketing efforts. As a key member of our marketing team, you will be responsible for creating and implementing effective marketing campaigns that align with our corporate goals. Your expertise will help drive business growth and increase brand visibility in...

  • Sr Marketing Program Manager

    15 hours ago

    Pasadena, United States Wescom Credit Union WeCare Foundation Full time

    Sr Marketing Program Manager (Pasadena, CA)POSITION SUMMARY: Manages marketing programs, promotions, and projects that effectively promote the organization’s products and services. Responsible for developing promotional programs and tracking programs to ensure department needs and goals are met. Ensures the projects/programs adhere to compliance...

  • Marketing Manager

    1 day ago

    Pasadena, United States Comrise Full time

    Job Title: Marketing ManagerTerm: Fulltime, PermanentPay Range: $100,000-140,000Location: We are looking for a Marketing Manager in Pasadena, CA or Brooklyn, NYJob Summary:We are seeking a dynamic Marketing manager with a deep understanding of sneaker culture, community engagement, influencer marketing, and social media strategy. The ideal candidate should...

  • Marketing Manager

    1 day ago

    Pasadena, United States Comrise Full time

    Job Title: Marketing ManagerTerm: Fulltime, PermanentPay Range: $100,000-140,000Location: We are looking for a Marketing Manager in Pasadena, CA or Brooklyn, NYJob Summary:We are seeking a dynamic Marketing manager with a deep understanding of sneaker culture, community engagement, influencer marketing, and social media strategy. The ideal candidate should...

  • Community Marketing Manager

    1 day ago

    Pasadena, United States Comrise Full time

    Job Title: Marketing ManagerTerm: Fulltime, PermanentPay Range: $100,000-140,000Location: We are looking for a Marketing Manager in Pasadena, CA or Brooklyn, NYJob Summary:We are seeking a dynamic Marketing manager with a deep understanding of sneaker culture, community engagement, influencer marketing, and social media strategy. The ideal candidate should...

  • Community Marketing Manager

    1 day ago

    Pasadena, United States Comrise Full time

    Job Title: Marketing ManagerTerm: Fulltime, PermanentPay Range: $100,000-140,000Location: We are looking for a Marketing Manager in Pasadena, CA or Brooklyn, NYJob Summary:We are seeking a dynamic Marketing manager with a deep understanding of sneaker culture, community engagement, influencer marketing, and social media strategy. The ideal candidate should...

  • Tax Leadership Position in Middle-Market Accounting

    1 month ago

    Pasadena, California, United States Moss Adams LLP Full time

    Moss Adams LLP champions authenticity and fosters a culture of talented people who care. This is an opportunity to work towards the firm's mission of empowering others to embrace opportunity, growing as a leader along the way.Job OverviewThe Tax Senior Manager position delivers quality tax solutions to public and privately owned middle-market companies,...

  • Digital Marketing Specialist

    1 day ago

    Pasadena, United States Science Systems and Applications, Inc. Full time

    Science Systems and Applications, Inc (SSAI) is seeking a Digital Marketing Specialist to join our dynamic communications team supporting NASA's Goddard Space Flight Center (GSFC). The selected candidate will craft engaging, compelling narratives for digital marketing that support awareness of NASA Earth science data and information. This is a telecommuting...

  • Digital Marketing Specialist

    1 month ago

    Pasadena, United States Exxel Outdoors Full time

    Do you have a passion for the outdoor industry and love being apart of a great team? This could be the right fit for you!  We are seeking a highly motivated Digital Marketing Specialist to join our team.  POSITION SUMMARY:  The Digital Marketing Specialist is responsible for Exxel Outdoors’ online promotional and digital advertising campaigns. This...

  • Wine Marketing Associate

    2 weeks ago

    Pasadena, California, United States FlorVino Full time

    We are seeking a highly skilled and results-driven Wine Marketing Associate to join our team in the greater DFW area.ResponsibilitiesDevelop and execute sales strategies to drive revenue growthSell and sample our unique flower wines at festivals and eventsManage and maintain display setups at market and eventsRepresent the company as a brand...