Market Supervision Manager

4 weeks ago

New York, New York, United States Bank of America 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.

The Market Supervision Manager plays a critical role in supporting the Merrill Wealth Management Market Executives in their 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.

The Market Supervision Manager is responsible for managing 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.

Responsibilities include:

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

The ideal candidate will have a 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.

Additionally, the candidate should have 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 are also essential.

The Market Supervision Manager will be a member of the Market Leadership Team, working closely with the Market Client Relationship Manager (CRM) to support the Firm's business objectives and contribute to the Market's profitability.

This role is eligible to participate in the annual discretionary plan, and the employee will be 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.

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.

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