Merrill Market Supervision Manager
| Company | Bank of America |
|---|---|
| Location | Southfield, MI, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Senior |
Requirements
- 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
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
Preferred Qualifications
- Bachelor’s degree or equivalent work experience
- Market Supervision Manager experience, or completion of Merrill’s Office Management Team Associate Development Program