Market Supervision Manager

3 weeks ago


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

Job Summary

This role 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 have a strong understanding of industry regulations and supervisory requirements, as well as the ability to coach Financial Advisors on aligning their business practices with the company's strategy.

Key Responsibilities

  • Manage delegated compliance, administrative, and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities.
  • Coach Financial Advisors on supporting the company strategy and continuing to grow their businesses.
  • Monitor advisor and client activity, including financial transactions, to ensure compliance with firm and regulatory requirements and minimize risk.
  • Partner with Financial Advisors, Client Associates, and other market personnel to manage risk of business growth initiatives.

Requirements

  • Currently hold SIE, Series 7, and Series 66 (or Series 63 and Series 65) licenses.
  • Minimum of 5+ years professional experience.
  • 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.

Preferred Qualifications

  • Market Supervision Manager experience or completion of Merrill's Office Management Team Associate Development Program.
  • Bachelor's degree or equivalent work experience.

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.



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