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Market Supervision Expert

4 weeks ago

Memphis, Tennessee, United States Bank of America Full time
About the Role

At Bank of America, we are driven by a shared purpose to help make financial lives better through the power of every connection.

This role is an exciting opportunity to join our team as a Market Supervision Manager. As a key member of our Market Leadership Team, you will play a vital part in shaping the future of our business and contributing to our company's success.

Job Description

The Market Supervision Manager is responsible for supporting the Merrill Wealth Management Market Executives (MEs) in their overall managerial responsibilities. This includes managing delegated compliance, administrative, and business functions to minimize regulatory, financial, and reputational risks.

You will be working independently or with minimal guidance, while keeping the ME and Division Supervision Executive informed on significant matters.

This role requires strong leadership skills, excellent communication abilities, and a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products.

Key Responsibilities
  • Supporting business objectives and contributing to market profitability by influencing Financial Advisor business practices.
  • Managing day-to-day Financial Advisor (FA) business needs while ensuring adherence to the bank's compliance policies and procedures.
  • Couching FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conduct.
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.
Estimated Salary

$120,000 - $150,000 per year, based on location and experience.

Benefits

Bank of America offers a comprehensive benefits package, including competitive salary, stock options, retirement plan matching, paid time off, and more.

We value diversity, equity, and inclusion and are committed to creating a workplace free from discrimination and harassment.

About Us

Bank of America is a leading global financial institution with a long history of innovation and customer satisfaction.