View Job
Merrill Market Supervision Manager - Greater Atlanta
Bank of America | Atlanta GA 39901 USA | Full Time | Posted: 05/14/2024
Job Descriptiontop
Job Description:
Job Description:
This job is responsible for a wide variety of delegated compliance, administrative, and business functions to support the Merrill Wealth Management Market Executives (MEs) overall managerial and supervisory responsibilities. Key responsibilities include supporting business objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks. Job expectations include working independently or with minimal guidance, while keeping the ME and Division Supervision Executive informed on significant matters.
Responsibilities:
Performs, monitors, and demonstrates 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
Manages day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank's compliance policies and procedures
Coaches FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conduct
Partners with FAs, CAs, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank's enterprise risk appetite
Required Qualifications:
- 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
Desired Qualifications:
- Bachelor's degree or equivalent work experience
- Market Supervision Manager experience, or completion of Merrill's Office Management Team Associate Development Program
Skills:
Risk Management
Decision Making
Influence
Negotiation
Problem Solving
Relationship Building
Adaptability
Business Acumen
Collaboration
Oral Communications
Client Solutions Advisory
Business Operations Management
Planning
Written Communications
Shift:
1st shift (United States of America)Hours Per Week:
40Contact Informationtop
Contact Name | - |
---|---|
How to apply | Employer provided a link where your application will be accepted. Click on the link below and follow instructions. |
Apply | Click Here (apply to job) |
Job Code | 24010276 |