Market Supervision Manager

3 days ago


Memphis, Tennessee, United States Bank of America Full time
Job Title: Market Supervision Manager

At Bank of America, we are committed to creating a workplace that is inclusive and diverse. 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:
  • Support business objectives and contribute to market profitability by influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks.
  • Work independently or with minimal guidance, while keeping the Market Executive and Division Supervision Executive informed on significant matters.
  • 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.
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.
What We Offer:

At Bank of America, we offer a competitive benefits package, including health insurance, retirement savings, and paid time off. We also provide opportunities for professional growth and development, as well as a collaborative and inclusive work environment.

We are an equal opportunity employer and welcome applications from diverse candidates. If you are passionate about creating a workplace that is inclusive and diverse, we encourage you to apply for this role.



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