Market Supervision Manager

6 days ago

San Francisco, California, United States Bank of America Full time
Job Description:

Company Overview:

Bank of America is a leading provider of comprehensive financial services and investment products for individuals, companies, and institutions. Our wealth management division, Merrill Wealth Management, is one of the largest businesses of its kind in the world, specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.

Our Team:

Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. We empower our employees to bring their whole selves to work, valuing diversity in our thoughts, business, and within our employees and clients.

Position Overview:

The Associate Market Supervision Manager (AMSM) is a member of the Market Leadership Team, along with the Merrill Market Supervision Manager (MSM) and Merrill Client Relationship Manager (CRM). This role is designed for individuals who will learn and understand the tasks and responsibilities before taking over a full Market Supervision Manager (MSM) role.

Key Responsibilities:

  1. The AMSM is a direct report to the Division Supervision Manager (DSM).
  2. The AMSM protects the Firm, helps grow the business, and serves the client by proactively managing and mitigating risk.
  3. Functions with guidance and keeps the MWM ME and the other members of the Office Management Team (OMT) informed on significant matters that the AMSM is responsible for handling and determines when the MWM ME should be directly involved.

Requirements:

  1. The ideal candidate is a self-motivated, client-centric individual who has or is able to obtain the following in a specified timeframe: Series 7 (SIE, 7 Top-Off) AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses, and Series 3 or 31 license (if warranted).
  2. SIE strongly preferred.
  3. If unlicensed, must successfully pass the AP Reasoning Exam.
  4. Minimum 3-5 years of financial services experience preferred.
  5. Ability to manage risk, make sound decisions with a strong understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products.
  6. 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.
  7. An appreciation and understanding of our client-centric strategy.
  8. Demonstrated understanding of the importance of mitigating risk through segmentation, disciplined investment practices, and documentation.
  9. Analytical skills with the ability to identify trends, root causes and effects, and implement improved processes to mitigate risk.
  10. Ability to clearly communicate and collaborate with others.
  11. Possesses time management and organization skills with the ability to prioritize tasks.

Desired Qualifications:

  1. Bachelor's degree or equivalent work experience.
  2. Good organizational skills, including the ability to effectively plan, organize, and prioritize tasks.
  3. Previous experience managing a team of at least 10 including the ability to monitor, influence, negotiate, supervise, and delegate a plus.

Work Environment:

This role is based in the United States and requires a 1st shift schedule with 40 hours per week.

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