Market Supervision Manager
3 weeks ago
Job Description:
This role is responsible for providing support to the Merrill Wealth Management Market Executives in their managerial and supervisory responsibilities. The Market Supervision Manager will work independently or with minimal guidance to contribute to market profitability by influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks.
Key Responsibilities:
- Supporting business objectives and contributing to market profitability
- Influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks
- Working independently or with minimal guidance to keep the Market Executive informed on significant matters
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
- 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
Key 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
Desired Qualifications:
- Bachelor's degree or equivalent work experience
- Market Supervision Manager experience, or completion of Merrill's Office Management Team Associate Development Program
Skills:
- Decision Making
- Influence
- Negotiation
- Problem Solving
- Risk Management
- Adaptability
- Business Acumen
- Collaboration
- Oral Communications
- Relationship Building
- Business Operations Management
- Client Solutions Advisory
- Planning
- Talent Development
- Written Communications
Shift: 1st shift (United States of America)
Hours Per Week: 40
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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