Merrill Market Supervision Manager

Overview

The Market Supervision Manager (MSM) supports Merrill Wealth Management’s business objectives by overseeing compliance, risk management, and supervisory activities for the Market. The role ensures that Financial Advisors and clients receive high‑quality service while adhering to regulatory and company standards.

• Manage delegated compliance, administrative, and business functions for the Market Executive’s oversight across parent and associate offices.
• Operate independently, keeping the Market Executive informed of significant matters and involving them when necessary.
• Monitor advisor and client activity, including financial transactions, to ensure compliance with firm and regulatory requirements and to minimize risk.
• Coach advisors to support the company strategy and to grow their businesses while managing risk.
• Act as the independent voice on risk, supporting business objectives and contributing to branch profitability by influencing Financial Advisor practices.
• Partner with the Division Supervision Executive and the Client Relationship Manager on supervisory functions.
• Coordinate with the Office Management Team on risk management and supervision tasks.

• Current licenses: SIE, Series7, and Series
  66 (or Series
  63 and Series
  65);
  Series9 &10 (or Series8) or equivalent.
• Series3 and/or Series
  31 licenses, if warranted.
• Minimum of 5+ years of professional experience.
• Proven ability to manage risk and make sound decisions based on industry regulations, supervisory requirements, policies and procedures, wealth‑management concepts, and financial‑services products.
• Strong interpersonal skills to coach advisors on client needs, risk mitigation, and disciplined investment practices.
• Demonstrated leadership style with clear communication, collaboration, decisive action, and courage.
• Excellent analytical skills: identify trends, root causes, and implement process improvements to mitigate risk.
• Strong time‑management and organizational skills with the ability to prioritize adequately.
• Preference for candidates with prior Market Supervision Manager experience or completion of Merrill’s Office Management Team Associate Development Program.

• Bachelor’s degree or equivalent work experience.
• Prior experience in risk management within a wealth‑management or financial‑services environment.

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