Merrill Wealth Management Compliance Supervisor

2 weeks ago

Grand Rapids, Michigan, United States Bank of America Full time
Position Overview:

At Bank of America, our mission is to enhance financial well-being through meaningful connections. We prioritize Responsible Growth, which shapes our operations and how we serve our clients, colleagues, communities, and shareholders.

We are committed to fostering a diverse and inclusive environment, recognizing the value of varied backgrounds and experiences. Our investment in our team members and their families includes competitive benefits aimed at supporting their overall well-being.

Role Summary:

The Merrill Wealth Management Compliance Supervisor plays a crucial role in overseeing a range of compliance, administrative, and operational tasks to assist the Merrill Wealth Management Market Executives in their supervisory duties.

This position is pivotal in aligning business goals with market profitability by guiding Financial Advisors in practices that reduce regulatory, financial, and reputational risks.

Key Responsibilities:
  • Manage delegated compliance and administrative functions related to the Market Executive's managerial responsibilities.
  • Operate independently while ensuring the Market Executive is informed of significant developments.
  • Monitor advisor and client activities, including financial transactions, to ensure compliance with regulatory standards.
  • Provide coaching to Financial Advisors to support strategic initiatives and business growth.

Essential Duties:
  • Ensure adherence to internal and external compliance standards, policies, and regulations.
  • Oversee daily business needs of Financial Advisors while ensuring compliance with Bank policies.
  • Guide Financial Advisors and Client Associates in maintaining compliance with sales practices.
  • Collaborate with Financial Advisors to manage risks associated with business growth initiatives.

Qualifications:
  • Possession of relevant licenses such as SIE, Series 7, and Series 66 (or equivalent).
  • A minimum of 5 years of professional experience in a related field.
  • Demonstrated ability to manage risk and make informed decisions based on industry regulations.

Preferred Skills:
  • Strong communication and interpersonal skills to effectively coach Financial Advisors.
  • Analytical skills to identify trends and implement risk mitigation strategies.
  • Proven leadership abilities through effective collaboration and decision-making.

Work Environment:

This position typically operates during standard business hours, contributing to a dynamic and supportive workplace culture that values employee well-being and professional growth.

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