Merrill Market Supervision Manager

Bank of America (GHR)

Westlake Village, CA, US
Base: $112,200.00 - $160,000.00 annualized; bonus/...
On-site
Manage delegated compliance functions
Monitor advisor and client activity
Ensure adherence to firm policies
The Merrill Market Supervision Manager position at Bank of America involves overseeing compliance and operational functions to support the Merrill Wealth Management Market Executives. The ideal candidate should have significant experience in risk management and compliance within financial services, and the role emphasizes a collaborative and client-centric culture

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.
  • Manage delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices.

Matching Summary

Match Score: 85

The Merrill Market Supervision Manager position at Bank of America involves overseeing compliance and operational functions to support the Merrill Wealth Management Market Executives. The ideal candidate should have significant experience in risk management and compliance within financial services, and the role emphasizes a collaborative and client-centric culture.

Salary

Base: $112,200.00 - $160,000.00 annualized; Bonus/Equity: Discretionary incentive eligible; Benefits: Benefits eligible

Skills & Requirements

Must-have

  • Manage delegated compliance functions
  • Monitor advisor and client activity
  • Ensure adherence to firm policies
  • Mitigate regulatory and financial risk

Nice-to-have

  • Client centric strategy appreciation
  • Strong interpersonal coaching skills
  • Demonstrated leadership style

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
  • Series 3, 31 licenses, if warranted
  • Minimum of 5+ years professional experience
  • Proven ability to manage risk and make sound decisions

Work Rights

Not specified

Tailored Resume

Cover Letter