Merrill Market Supervision Manager
Core
Support Merrill Wealth Management Market Executives by managing delegated compliance, administrative, and business functions to minimize regulatory, financial, and reputational risks.
Role type
Senior compliance and risk management manager for wealth market executives
Builds
Supports the profitability and risk posture of Merrill Wealth Management markets
Domain
Financial services / Wealth management / Regulatory compliance
Required skills
Regulatory compliance, risk management, financial services product knowledge, supervisory requirements, policy adherence, coaching, business operations management
Preferred skills
Client-centric strategy alignment, trend identification, process improvement, leadership, segmentation, disciplined investment practices
Technologies
N/A
Responsibilities
Monitor advisor and client activity including financial transactions to ensure compliance; Coach Financial Advisors and Client Associates on policy adherence and risk mitigation; Manage day-to-day Financial Advisor business needs; Partner with market personnel to manage risk of business growth initiatives
Seniority
Senior, hands-on IC with supervisory responsibilities