Merrill Market Supervision Manager

Bank of America Merrill Lynch

Westlake Village, CA, US
Base: $112,200.00 - $160,000.00 annualized; bonus:...
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Manage delegated compliance functions
Monitor advisor and client activity
Coach financial advisors on risk mitigation
** The Merrill Market Supervision Manager at Bank of America Merrill Lynch is responsible for overseeing compliance and business functions within Merrill Wealth Management, ensuring that Financial Advisors adhere to regulatory standards while driving business objectives. The role emphasizes independent management, coaching, and risk mitigation to protect the firm's reputation and profitability. **

Job Summary

  • The Market Supervision Manager supports the Firm's business objectives by influencing Financial Advisor business practices to minimize regulatory and financial risk.
  • This role requires managing day-to-day Financial Advisor business needs while ensuring strict adherence to bank compliance policies and procedures.
  • Employees are eligible for an annual discretionary award based on individual performance results and the overall success of the Company.

Matching Summary

Match Score: 75

** The Merrill Market Supervision Manager at Bank of America Merrill Lynch is responsible for overseeing compliance and business functions within Merrill Wealth Management, ensuring that Financial Advisors adhere to regulatory standards while driving business objectives. The role emphasizes independent management, coaching, and risk mitigation to protect the firm's reputation and profitability. **

Salary

Base: $112,200.00 - $160,000.00 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 mitigation
  • Ensure regulatory adherence for sales practices
  • Resolve client concerns and complaints

Nice-to-have

  • Deep appreciation of client centric strategy
  • Strong analytical skills for trend identification
  • Demonstrated leadership with clear communication
  • Ability to prioritize time management effectively

Key Requirements

  • SIE, Series 7, Series 66 (or 63/65), Series 9, Series 10 (or 8) licenses
  • Minimum of 5+ years professional experience
  • Series 3 or 31 licenses if warranted

Work Rights

Not specified

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