Merrill Market Supervision Leader

3 weeks ago


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

At Bank of America, we're committed to helping our clients achieve their financial goals while ensuring a safe and compliant work environment. As a Merrill Market Supervision Manager, you will play a critical role in supporting the Firm's business objectives and contributing to the Market's profitability by influencing Financial Advisors' business practices.

This senior leadership position involves managing delegated compliance, administrative, and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices.

Key Responsibilities
  • Manage day-to-day Financial Advisor business needs, ensuring adherence to bank compliance policies and procedures;
  • Coach advisors in 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;

You will be responsible for performing, monitoring, and demonstrating 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.

Required Qualifications
  • Holding SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses;
  • 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;

We offer a competitive salary range of $120,000 - $160,000 per year, based on location and experience.



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