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Market Supervision Manager
2 months ago
About the Role
This position is responsible for providing support to the Merrill Wealth Management Market Executive in managing the day-to-day business needs of Financial Advisors. The successful candidate will be responsible for ensuring compliance with firm and regulatory requirements, minimizing risk, and driving business growth initiatives.
Key Responsibilities
- Manage delegated compliance, administrative, and business functions related to the Market Executive's overall managerial responsibilities.
- Monitor advisor and client activity, including financial transactions, to ensure compliance with firm and regulatory requirements.
- Coach Financial Advisors on supporting the company strategy and continuing to grow their businesses.
- Perform, monitor, and demonstrate adherence to internal and external standards, policies, laws, rules, and regulations related to client advice and recommendations.
Requirements
- Currently hold SIE, Series 7, and Series 66 (or Series 63 and Series 65) licenses.
- Minimum of 5+ years professional experience in a related field.
- Proven ability to manage risk, make sound decisions, and have a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products.
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
Work Environment
This role is based in the United States and requires a 1st shift schedule with 40 hours per week.