Market Supervision Manager
3 weeks ago
Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. As a Market Supervision Manager, you will play a critical role in supporting the Merrill Wealth Management Market Executive's overall managerial responsibilities.
Key Responsibilities- Manage delegated compliance, administrative, and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices.
- Monitor advisor and client activity, including financial transactions, to ensure compliance with firm and regulatory requirements and minimize risk.
- Coach advisors in supporting the company strategy and continuing to grow their businesses.
- Currently hold SIE, Series 7, and Series 66 (or Series 63 and Series 65) licenses.
- Minimum of 5+ years of 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.
As a Market Supervision Manager, you will have the opportunity to:
- Support the Merrill Wealth Management Market Executive in achieving business objectives and contributing to market profitability.
- Minimize regulatory, financial, and reputational risks by influencing Financial Advisor business practices.
- Ensure Financial Advisors are properly licensed and respond to regulatory inquiries and resolve client concerns or complaints.
Bank of America is an equal opportunity employer and welcomes applications from diverse candidates.
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Market Supervision Manager
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