Market Supervision Manager
4 days ago
About the Role
This role is responsible for providing comprehensive support to the Merrill Wealth Management Market Executive in managing delegated compliance, administrative, and business functions. The successful candidate will be responsible for influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks.
Key Responsibilities
- Manage day-to-day Financial Advisor business needs, ensuring adherence to the bank's compliance policies and procedures.
- Coach Financial Advisors, Client Associates, and other market personnel to drive adherence to policies and procedures related to sales practice conduct.
- Partner with Financial Advisors, Client Associates, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank's enterprise risk appetite.
- 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.
Requirements
- Currently hold SIE, Series 7, and Series 66 (or Series 63 and Series 65) licenses.
- Series 3 and 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.
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.
-
Market Supervision Manager
2 weeks ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThe 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...
-
Market Supervision Manager
4 weeks ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThe 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...
-
Market Supervision Manager
7 days ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThis is a unique opportunity to join the Bank of America team as a Market Supervision Manager. As a key member of the Market Leadership Team, you will play a critical role in supporting the Firm's business objectives and contributing to the Market's profitability.Key ResponsibilitiesManage delegated compliance, administrative, and business...
-
Market Supervision Manager
7 days ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThis is a unique opportunity to join the Bank of America team as a Market Supervision Manager. As a key member of the Market Leadership Team, you will play a critical role in supporting the Firm's business objectives and contributing to the Market's profitability.Key ResponsibilitiesManage delegated compliance, administrative, and business...
-
Market Supervision Manager
3 days ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThis role is responsible for supporting the Merrill Wealth Management Market Executive in their overall managerial and supervisory responsibilities. The Market Supervision Manager will work independently or with minimal guidance to ensure compliance with firm and regulatory requirements, minimize risk, and contribute to the Market's...
-
Market Supervision Manager
3 days ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThis role is responsible for supporting the Merrill Wealth Management Market Executive in their overall managerial and supervisory responsibilities. The Market Supervision Manager will work independently or with minimal guidance to ensure compliance with firm and regulatory requirements, minimize risk, and contribute to the Market's...
-
Market Supervision Manager
5 days ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThis role is responsible for providing support to the Merrill Wealth Management Market Executives in their managerial and supervisory responsibilities. The successful candidate will be responsible for managing delegated compliance, administrative, and business functions to ensure the Market's profitability and minimize regulatory and financial...
-
Market Supervision Manager
5 days ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThis role is responsible for providing support to the Merrill Wealth Management Market Executives in their managerial and supervisory responsibilities. The successful candidate will be responsible for managing delegated compliance, administrative, and business functions to ensure the Market's profitability and minimize regulatory and financial...
-
Market Supervision Manager
1 week ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThis 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...
-
Market Supervision Manager
1 week ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThis 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...
-
London Markets Supervision Manager
1 month ago
London, Greater London, United Kingdom Bank of England Full timePosition OverviewScale E Management Roles, London Markets Division - Flexible Working Options AvailableThe Insurance Supervision Directorate is dedicated to ensuring the stability and integrity of over 500 insurance entities operating within the UK, encompassing general and life insurers, friendly societies, and the London market. Our mission is to...
-
Manager of Supervision in London Markets
1 month ago
London, Greater London, United Kingdom Bank of England Full timePosition OverviewScale E Management Roles, London Markets Division - Flexible Working Options AvailableThe Insurance Supervision Directorate is dedicated to ensuring the stability and safety of over 500 insurance providers in the UK, encompassing general insurers, life insurers, friendly societies, and the London market. Our mission is to proactively...
-
Global Markets Supervision Associate
1 month ago
London, Greater London, United Kingdom Royal Bank of Canada> Full timePosition OverviewWhat is the opportunity?As an Associate in Global Markets Supervision, you will play a crucial role in establishing a comprehensive Front Office Control Framework. This framework is essential for ensuring that the business can demonstrate an adequate level of supervision, enabling the identification of conduct-related issues and minimizing...
-
Global Markets Supervision Associate
1 month ago
London, Greater London, United Kingdom Royal Bank of Canada> Full timePosition OverviewRole SummaryWhat is the opportunity?As an integral part of the Global Markets division, you will be responsible for establishing a comprehensive Front Office Control Framework. This framework is essential for ensuring that the business maintains adequate supervision to effectively identify potential conduct issues or practices that could...
-
Market Supervision Manager
2 weeks ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThis position is responsible for providing support to the Merrill Wealth Management Market Executive in managing the day-to-day business needs of Financial Advisors, while ensuring adherence to the bank's compliance policies and procedures.Key ResponsibilitiesManage delegated compliance, administrative, and business functions related to the...
-
Market Supervision Manager
2 weeks ago
London, Greater London, United Kingdom Bank of America Full timeAbout the RoleThis position is responsible for providing support to the Merrill Wealth Management Market Executive in managing the day-to-day business needs of Financial Advisors, while ensuring adherence to the bank's compliance policies and procedures.Key ResponsibilitiesManage delegated compliance, administrative, and business functions related to the...
-
Senior Marketing and PR Manager
3 weeks ago
London, Greater London, United Kingdom Market 36 Full timeJob DescriptionMarket 36 is seeking a highly skilled and experienced Marketing and Public Relations Manager to join our team. As a key member of our marketing department, you will play a pivotal role in shaping our clients' PR and marketing strategies, reporting directly to the Head of Social Media.Key Responsibilities:Develop and Implement Marketing...
-
Global Markets Supervision Associate
1 month ago
London, Greater London, United Kingdom Royal Bank of Canada> Full timePosition OverviewRole SummaryWhat is the opportunity?Ensure a comprehensive Front Office Control Framework for Global Markets, which includes systematic reporting and monitoring to demonstrate that the business maintains an adequate level of Supervision. This will facilitate the identification of conduct-related issues or practices that may expose RBC to...
-
Marketing Operations Manager
14 hours ago
London, Greater London, United Kingdom Market Recruitment Ltd Full time £35,000 - £40,000Job Title: Marketing Operations Manager Job Description: We are seeking a highly skilled Marketing Operations Manager to join our team at Market Recruitment Ltd. As a key member of our marketing team, you will play a crucial role in driving the success of our business by implementing and managing our sales and marketing platform, Hubspot. Key...
-
Marketing Operations Manager
12 hours ago
London, Greater London, United Kingdom Market Recruitment Ltd Full time £35,000 - £40,000Job Title: Marketing Operations Manager Job Description: We are seeking a highly skilled Marketing Operations Manager to join our team at Market Recruitment Ltd. As a key member of our marketing team, you will play a crucial role in driving the success of our business by implementing and managing our sales and marketing platform, Hubspot. Key...