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Bank Of America Associate Market Supervision Manager United States, Tennessee, Memphis 785775355
Job Description:
Merrill’s Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comesfrom transparency. Our trusted
Theis a member of the Market Leadership Team, along with the Merrill Market Supervision Manager (MSM) and Merrill Client Relationship Manager (CRM). This is a role in which the associates will learn and understand the tasks and responsibilities before taking over a full Market Supervision Manager (MSM) role.
This job is responsible for a wide variety of delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities. This individual functions independently, or with minimal guidance, but must keep the Market Executive informed on significant matters.
Specific responsibilities include, but are not limited to:
- The AMSM isa direct report to the Division Supervision Manager (DSM).
- The AMSM protects the Firm, helps grow the business and serves the client by proactively managing and mitigating risk.
- Functions with guidance and keeps the MWM ME and the other members of the Office Management Team (OMT) informed on significant matters that the AMSM is responsible for handling and determines when the MWM ME should be directly involved.
Key Qualifications for the role:
- The ideal candidate is a self-motivated, client centric individual who has or is able to obtain the following in a specified timeframe: Series 7 (SIE, 7 Top-Off) AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses,and Series 3 or 31 license (If warranted).
- SIE strongly preferred
- If Unlicensed, must successfully pass the AP Reasoning Exam
- Minimum 3-5 years of financial services experience preferred
- Ability to manage risk, make sound decisions with a strong understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products
- Ability to speak in terms of client needs and concerns, and coach financial advisors on aligning solutions to goals in a suitable and controlled way
- An appreciation and understanding of our client centric strategy
- Demonstrated understanding of the importance of mitigating risk through segmentation, disciplined investment practices, and documentation
- Analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk
- Ability to clearly communicate and collaborate with others
- Possesses time management and organization skills with the ability to prioritize tasks
Desired Qualifications:
- Bachelor’s degree or equivalent work experience
- Good organizational skills, including the ability to effectively plan, organize and prioritize tasks
- Previous experience managing a team of at least 10 including the ability to monitor, influence, negotiate, supervise, and delegate a plus
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