Merrill Market Supervision Manager

Merrill Wealth Management

Washington, DC, United States
Base: $112,200.00 - $160,000.00 annualized; bonus:...
Series 7 series 66 or 63/65 licenses
Series 9 and 10 (or series 8) licenses
Risk mitigation for financial advisors
The Market Supervision Manager supports the Firm's business objectives by influencing Financial Advisors' practices to minimize regulatory and financial risk

Job Summary

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

Matching Summary

The Market Supervision Manager supports the Firm's business objectives by influencing Financial Advisors' practices to minimize regulatory and financial risk.

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

  • Series 7 Series 66 or 63/65 licenses
  • Series 9 and 10 (or Series 8) licenses
  • Risk mitigation for financial advisors
  • Regulatory inquiry response and resolution
  • Client complaint management and resolution

Nice-to-have

  • Strong interpersonal coaching skills
  • Deep appreciation of client-centric strategy
  • Ability to identify root cause trends
  • Culture driven and resilient work environment
  • Experience with office-based attendance culture

Key Requirements

  • Minimum 5+ years professional experience
  • Current SIE, Series 7, and Series 66 (or 63/65) licenses
  • Series 9 and 10 (or Series 8) licenses
  • Bachelor's degree or equivalent work experience
  • Market Supervision Manager experience preferred

Work Rights

Not specified

Tailored Resume

Cover Letter