Bank of America
Merrill Market Supervision Manager
Washington · Manager · Full-time · Posted Jan 16, 2024
- Experience
- Minimum 5+ years professional experience required.
- Education
- Bachelor’s degree or equivalent work experience (desired qualification).
- Visa sponsorship
- Merrill Wealth Management does not sponsor a visa petition or other work authorization for this position.
About the job
Oversees supervision, compliance, and risk management for Merrill Wealth Management branch offices while coaching Financial Advisors and helping address client concerns.
What you'll do
- Manage delegated compliance, administrative, and business functions for the Market Executive’s offices.
- Monitor advisor and client activity, including financial transactions, for compliance and risk.
- Coach Financial Advisors on business practices and client solutions; respond to regulatory inquiries and resolve client concerns or complaints.
What they ask for
- Currently hold SIE, Series 7, Series 66 (or Series 63 and Series 65), and Series 9 and Series 10 (or Series 8), or equivalent licenses.
- Minimum 5+ years professional experience.
- Demonstrated ability to manage risk and understand industry regulations, supervisory requirements, policies and procedures, wealth management concepts, and financial services products.
- Strong coaching, analytical, leadership, communication, time-management, and organizational skills.
Nice to have
- Series 3 and 31 licenses, if warranted.
- Market Supervision Manager experience, or completion of Merrill’s Office Management Team Associate Development Program; bachelor’s degree or equivalent work experience.
Model-written summary · the original posting is authoritative