Merrill Market Supervision Manager

Bank of America (GHR)

Washington, United States
Minimize regulatory and financial risk
Uphold firm's reputation
Monitor advisor and client activity
The Market Supervision Manager (MSM) supports the Firm's business objectives and contributes to the Market's profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation

Job Summary

  • The Market Supervision Manager (MSM) supports the Firm's business objectives and contributes to the Market's profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation.
  • Ultimately, the MSM protects the Firm, grows the business, and serves the client by proactively managing and mitigating risk.
  • We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America.

Matching Summary

The Market Supervision Manager (MSM) supports the Firm's business objectives and contributes to the Market's profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation.

Skills & Requirements

Must-have

  • Minimize regulatory and financial risk
  • Uphold firm's reputation
  • Monitor advisor and client activity
  • Ensure advisor licensing
  • Respond to regulatory inquiries
  • Resolve client concerns

Nice-to-have

  • Client centric leaders
  • Culture driven
  • Resilient
  • Results focused
  • Effective
  • Diversity in thoughts

Key Requirements

  • SIE, Series 7, Series 66 (or 63/65), Series 9, Series 10 (or 8) licenses
  • Series 3, 31 licenses if warranted
  • Minimum 5+ years professional experience
  • Proven ability to manage risk
  • Deep understanding of industry regulations
  • Ability to coach Financial Advisors

Work Rights

Not specified

Tailored Resume

Cover Letter