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 market supervision manager
Builds
Wealth management advisory services for individuals, companies, and institutions
Domain
Financial services / Wealth management
Required skills
Risk management, Regulatory compliance, Financial services product knowledge, Coaching and mentoring, Analytical skills, Leadership, Time management, Business operations management
Preferred skills
Client-centric strategy alignment, Segmentation of advisors, Process improvement, Talent development
Technologies
N/A
Responsibilities
Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements; Coach Financial Advisors, Client Associates, and other market personnel to drive adherence of policies and procedures; Manage day-to-day Financial Advisor business needs while ensuring adherence to compliance policies; Partner with market personnel to manage risk of business growth initiatives.
Seniority
Senior, hands-on IC with supervisory responsibilities