Senior Client Supervision Manager
2 weeks ago
Job Summary
This role is responsible for overseeing client account activities by monitoring administrative, sales, and trading tasks performed by registered employees. Key responsibilities include limiting risk and financial exposure to the business unit and the bank for registered employees located in call centers or financial centers.
Key Responsibilities
- Oversee day-to-day front line supervision, including mandated supervisory reviews and enterprise alerts.
- Monitor employees in call centers or financial centers ability to handle and resolve complaints.
- Ensure employees comply with policies, procedures, and regulations to limit risk and financial exposure to the business and the firm.
- Create and oversee team workflow, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, and trade correction for consumer investments.
Required Qualifications
- Prefer candidates holding FINRA Series 7, 8 or 9/10, 63/65 or 66.
- Strong Leadership and Communication skills.
- Able to foster collaborative relationships within and across business units.
- Demonstrate integrity and remains calm under pressure.
- Familiarity with compliance and regulatory issues.
- Proficient in Microsoft Office applications.
- Merrill Edge, Merrill Lynch, or Operations experience.
Skills:
- Attention to Detail.
- Continuous Improvement.
- Controls Management.
- Risk Management.
- Fraud Management.
- Issue Management.
- Monitoring, Surveillance, and Testing.
- Policies, Procedures, and Guidelines Management.
- Regulatory Relations.
- Active Listening.
- Decision Making.
- Due Diligence.
- Leadership Development.
- Oral Communications.
Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent
Shift: 1st shift (United States of America)
Hours Per Week: 40
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