Market Supervision Manager

3 days ago

Memphis, Tennessee, United States Bank of America Full time
Job Description:

This role is responsible for providing comprehensive support to the Merrill Wealth Management Market Executive in ensuring compliance with regulatory requirements and minimizing risk. The Market Supervision Manager will work closely with Financial Advisors and other market personnel to drive adherence to policies and procedures, and will be responsible for monitoring and mitigating risk associated with business growth initiatives.

Key Responsibilities:
  • Support the Market Executive in ensuring compliance with regulatory requirements and minimizing risk
  • Work closely with Financial Advisors and other market personnel to drive adherence to policies and procedures
  • Monitor and mitigate risk associated with business growth initiatives
  • Provide coaching and guidance to Financial Advisors on risk management and compliance
  • Collaborate with other teams to ensure alignment with the bank's enterprise risk appetite
Requirements:
  • 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
  • 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
Preferred Qualifications:
  • Ability to speak in terms of client needs and concerns, and coach Financial Advisors on aligning solutions to goals in a suitable and controlled way
  • A deep appreciation and understanding of our client centric strategy
  • 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
  • Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction
Bank of America is an Equal Employment Opportunity and Affirmative Action Employer:

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, and as such affirms in policy and practice to support and promote the concept of equal employment opportunity and affirmative action, in accordance with all applicable federal, state, provincial and municipal laws.

The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our teammates.

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