Merrill Market Supervision Manager

Bank of America (GHR)

Chicago, IL, United States
Base: $115,000.00 - $155,000.00 annualized; bonus:...
Manage delegated compliance functions
Monitor advisor and client activity
Coach financial advisors on risk
This role supports Merrill Wealth Management Market Executives by managing delegated compliance, administrative, and business functions

Job Summary

  • This role supports Merrill Wealth Management Market Executives by managing delegated compliance, administrative, and business functions.
  • The Market Supervision Manager influences Financial Advisor business practices to minimize regulatory, financial, and reputational risks.
  • Employees are eligible for an annual discretionary award based on individual performance and the overall success of the Company.

Matching Summary

This role supports Merrill Wealth Management Market Executives by managing delegated compliance, administrative, and business functions.

Salary

Base: $115,000.00 - $155,000.00 annualized; Bonus: Discretionary incentive eligible; Benefits: Industry-leading benefits and paid time off

Skills & Requirements

Must-have

  • Manage delegated compliance functions
  • Monitor advisor and client activity
  • Coach financial advisors on risk
  • Resolve regulatory inquiries
  • Ensure proper licensing of staff

Nice-to-have

  • Strong interpersonal coaching skills
  • Client-centric strategy appreciation
  • Proactive risk mitigation mindset
  • Effective leadership communication
  • Ability to prioritize tasks

Key Requirements

  • SIE, Series 7, and Series 66 licenses required
  • Series 9 and Series 10 or equivalent licenses
  • Minimum of 5+ years professional experience
  • Deep understanding of wealth management regulations
  • Bachelor's degree or equivalent work experience preferred

Work Rights

Not specified

Tailored Resume

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