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Market Supervision Manager
1 month ago
Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.
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.
Key Responsibilities:- Support business objectives and contribute to market profitability by influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks.
- Manage delegated compliance, administrative, and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities.
- Monitor advisor and client activity, including financial transactions, to ensure compliance with firm and regulatory requirements and minimize risk.
- C
- Currently hold SIE, Series 7, and Series 66 (or Series 63 and Series 65) licenses.
- Minimum of 5+ years professional experience.
- Proven ability to manage risk, make sound decisions, and have a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products.
- Market Supervision Manager experience or completion of Merrill's Office Management Team Associate Development Program.
- Bachelor's degree or equivalent work experience.
- 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.
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.
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.
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.
