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Merrill Private Wealth Compliance Manager

2 months ago

Los Angeles, California, United States Bank of America Full time

Position Overview:

Merrill Wealth Management stands as a premier provider of extensive wealth management and investment solutions tailored for individuals, corporations, and institutions. Renowned globally, Merrill specializes in a goals-oriented approach to wealth management, focusing on planning for retirement, education, legacy, and various life aspirations through informed investment guidance.

Our Financial Advisors and Wealth Management Client Associates are dedicated to helping clients realize their envisioned lives through a personalized relationship with their advisory teams, who are committed to addressing their unique needs. We believe that trust is built on transparency, and our advisory teams leverage the investment insights of Merrill alongside the banking convenience offered by Bank of America.

At Merrill, we encourage you to bring your authentic self to the workplace. We embrace diversity in our thoughts, business practices, and among our employees and clients. Our Wealth Management team showcases a variety of backgrounds, contributing unique perspectives, ideas, and experiences that foster a culture-driven, resilient, results-oriented, and effective work environment.

Key Responsibilities:

The Private Wealth Supervision Manager (PWSM) reports to the Merrill Private Wealth Business Segment Supervision Executive (BSSE) and also to the Merrill Private Wealth Management Regional Managing Director (RMD).

The PWSM is a vital member of the market leadership team, tasked with a diverse range of delegated compliance, administrative, and business functions pertinent to the overall managerial responsibilities of the MPWM RMD for both parent and associate offices. Operating independently or with minimal guidance, the PWSM must keep the PWM RMD informed on significant issues and discern when direct involvement from the PWM RMD is necessary. The PWSM plays a crucial role in supporting the company's business objectives and enhancing market profitability by influencing Private Wealth Advisor practices to mitigate regulatory, financial, and reputational risks.

Essential Qualifications:

  • The ideal candidate is a proactive, client-focused professional possessing:
  • Series 7, 66, 9, 10 (or equivalent) Licenses required
  • Series 3, 31 licenses, if applicable
  • Demonstrated capability in risk management and sound decision-making through a comprehensive understanding of industry regulations, supervisory requirements, policies/procedures, wealth management principles, and financial services products
  • Ability to articulate client needs and concerns, coaching Private Wealth Advisors on aligning solutions to objectives in a suitable and controlled manner
  • A profound appreciation for our client-centric strategy
  • Strong interpersonal skills to coach Private Wealth Advisors in risk mitigation through segmentation, disciplined investment practices, and thorough documentation
  • Robust analytical skills to identify trends, root causes, and effects, implementing improved processes to reduce risk
  • Proven leadership abilities characterized by clear communication and collaboration, making sound decisions with confidence
  • Excellent time management and organizational skills with the capacity to prioritize effectively
  • If currently an internal associate, completion of the Associate Office Management Team Development program and/or experience as a Merrill Lynch Market Supervision Manager is strongly preferred

Preferred Qualifications:

  • Bachelor's degree or equivalent professional experience

Core Competencies:

  • Decision Making
  • Influence
  • Negotiation
  • Problem Solving
  • Risk Management
  • Adaptability
  • Business Acumen
  • Collaboration
  • Oral Communication
  • Relationship Building
  • Business Operations Management
  • Client Solutions Advisory
  • Planning
  • Talent Development
  • Written Communication

Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent

Shift: 1st shift (United States of America)

Hours Per Week: 40