Market Supervision Manager

4 weeks ago

London, Greater London, United Kingdom Bank of America Full time
About the Role

The Market Supervision Manager plays a critical role in supporting the Merrill Wealth Management Market Executives in their overall managerial and supervisory responsibilities. This position is responsible for a wide range of delegated compliance, administrative, and business functions to ensure the successful execution of the Market's business objectives.

Key Responsibilities
  • Support business objectives and contribute to market profitability by influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks.
  • Work independently or with minimal guidance, while keeping the Market Executive and Division Supervision Executive informed on significant matters.
  • Manage delegated compliance, administrative, and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices.
  • Monitor advisor and client activity, including financial transactions, to ensure compliance with firm and regulatory requirements and minimize risk.
  • Coach advisors in supporting the company strategy and continuing to grow their businesses.
Responsibilities
  • Perform, monitor, and demonstrate adherence to internal and external standards, policies, laws, rules, and regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel.
  • Manage day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank's compliance policies and procedures.
  • Coach FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conduct.
  • Partner with FAs, CAs, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank's enterprise risk appetite.
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.
  • Series 3, 31 licenses, if warranted.
  • 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.
  • Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk.
  • Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction.
  • Strong time management and organization skills with the ability to prioritize appropriately.
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

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