Merrill Market Supervision Manager

Job Summary

As a member of the Market Leadership Team, the Market Supervision Manager supports the Firm's business objectives by influencing Financial Advisors (FA) to minimize regulatory and financial risk while upholding the Firm’s reputation. The role protects the Firm, grows the business, and serves clients by proactively managing and mitigating risk.

• Manage delegated compliance, administrative, and business functions related to the Merrill Wealth Management Market Executive’s overall managerial responsibilities for parent and associate offices.
• Operate independently, 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 FA business needs while ensuring adherence to the bank’s compliance policies and procedures.
• Cooperate with FAs, Client Associates (CAs), and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank’s enterprise risk appetite.

• Current holder of SIE, Series 7 and Series 66 (or Series 63 and Series 65), Series 9 and Series 10 (or Series
  8) or equivalent licences;
  Series 3, 31 licences if warranted.
• Minimum of 5+ years of professional experience.
• Proven ability to manage risk and make sound decisions with deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth‑management concepts, and financial services products.
• Strong analytical skills, ability to identify trends, root causes, and implement improved processes to mitigate risk.
• Strong interpersonal, coaching, communication, and time‑management skills.
• Effective leadership style with clear communication and sound decision making.

• 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, Negotiation, Problem Solving, Risk Management, Adaptability, Business Acumen, Collaboration, Oral Communications, Relationship Building, Business Operations Management, Client Solutions, Advisory Planning, Talent Development, Written Communications.

Internal employees currently working from home are still eligible to apply. If selected, the role requires in‑office presence in accordance with the workplace excellence policy.

1st shift (United States of America) – 40 hours per week.

We are committed to an in‑office culture with flexibility based on role‑specific considerations. We value diversity in thoughts, business, and within our employees and clients and actively foster an inclusive work community.