Market Governance Leader

3 weeks ago


Northbrook, Illinois, United States Bank of America Full time
Job Overview

At Bank of America, we empower financial lives through strategic connections. Our inclusive workplace offers competitive benefits and flexibility, fostering a collaborative environment where we make a meaningful difference.

This role supports Market Executives in Merrill Wealth Management, focusing on regulatory compliance, administrative tasks, and business functions. Key responsibilities include minimizing risks, influencing business practices, and informing supervisors on significant matters.

Responsibilities:
  • Ensure adherence to internal and external standards, policies, laws, and regulations related to client advice and recommendations.
  • Manage day-to-day Financial Advisor business needs, guaranteeing compliance with bank policies and procedures.
  • Coach FAs, Client Associates, and other market personnel on sales practice conduct and policies.
  • Partner with FAs, CAs, and other market personnel to manage risk and ensure alignment with the bank's risk appetite.
Requirements:
  • Hold SIE, Series 7, and Series 66 (or 63 and 65) licenses.
  • Minimum 5+ years of professional experience.
  • Proven ability to manage risk, make sound decisions, and understand industry regulations.
Preferred Qualifications:
  • Bachelor's degree or equivalent work experience.
  • Market Supervision Manager experience or completion of Merrill's Office Management Team Associate Development Program.
Estimated Salary Range: $85,000 - $115,000 per yearSkills Used:
  • 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


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