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.
Manage delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices.
We believe trust comes from transparency and value diversity in our thoughts, business, and within our employees and clients.
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 compliance with firm requirements
Manage risk of business growth initiatives
Nice-to-have
Client centric strategy
Strong interpersonal skills
Strong analytical skills
Demonstrated leadership style
Effective communication and collaboration
Key Requirements
SIE, Series 7, Series 66 (or 63/65), Series 9, Series 10 (or 8) licenses