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
Job Summary
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.
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.
We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.
Matching Summary
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.
Salary
$115,000.00 - $155,000.00 annualized salary; Discretionary incentive eligible; Benefits: This role is currently benefits eligible.
Skills & Requirements
Must-have
Financial Advisor business practices
minimize regulatory financial reputational risks
monitor advisor and client activity
ensure compliance with firm regulatory requirements
manage risk of business growth initiatives
Nice-to-have
client centric strategy
interpersonal skills for coaching
strong analytical skills
effective leadership style
strong time management skills
Key Requirements
SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses