Merrill Market Supervision Manager

Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Management is one of the largest businesses of its kind in the world specializing in goals‑based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.

Merrill's Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America.

Merrill is committed to an in‑office culture with specific requirements for office‑based attendance and which allows for an appropriate level of flexibility for our teammates and businesses based on role‑specific considerations.

At Merrill, we empower you to bring your whole self to work. We value diversity in our thoughts, business, and within our employees and clients. Our Wealth Management team represents an array of different backgrounds and bring their unique perspectives, ideas and experiences, helping to create a work community that is culture driven, resilient, results focused and effective.

• Manage delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive’s overall managerial responsibilities for parent and associate offices
• Work independently, or with minimal guidance, while keeping the Market Executive informed on significant matters and determining when the Market Executive should be directly involved
• Monitor advisor and client activity, including financial transactions, to ensure compliance with firm and regulatory requirements and minimize risk
• Coach advisors in supporting the company strategy and continuing to grow their businesses.

• 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
• Manage day‑to‑day Financial Advisor (FA) business needs, while ensuring adherence to the bank’s compliance policies and procedures
• Coach FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conduct
• Partner with FAs, CAs, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank’s enterprise risk appetite

• 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

• Ability to speak in terms of client needs and concerns, and coach Financial Advisors on aligning solutions to goals in a suitable and controlled way
• A deep appreciation and understanding of our client centric strategy
• Strong interpersonal skills to provide coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation
• Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk
• Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction
• Strong time management and organization skills with the ability to prioritize appropriately

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

• Decision Making
• Influence
• Ne…