Market Supervision Leader

3 weeks ago


London, Greater London, United Kingdom Bank of America Full time

Overview

The Bank of America is seeking a highly skilled Market Supervision Manager to join our team. This role will play a critical part in ensuring the successful growth and profitability of our market.

Estimated Salary: $80,000 - $120,000 per year

Job Description

We are looking for an experienced professional with strong leadership skills to manage delegated compliance, administrative, and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities.

Main Responsibilities:

  • Manage day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank's compliance policies and procedures.
  • Coaches FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conduct.
  • Partners with FAs, CAs, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank's enterprise risk appetite.
  • Performs, monitors, and demonstrates 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.

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.

About You

To be successful in this role, you should possess excellent communication and interpersonal skills, as well as the ability to work independently or as part of a team. You should also have a strong understanding of industry regulations and policies, as well as experience working with Financial Advisors and Client Associates.

Benefits

The Bank of America offers a comprehensive benefits package, including medical, dental, and vision insurance, as well as a 401(k) plan and paid time off.

Shift

This role is based in the United States and requires a 1st shift schedule with 40 hours worked per week.



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