Job Description:
Market Supervision Manager (The Market Supervision Manager (MSM)Additionally, they ensure Financial Advisors are properly licensed; respond to regulatory inquiries, and resolve client concerns or complaints.
What you’ll accomplish
- Manage delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices
- This individual functions independently, or with minimal guidance, but must keep the Market Executive informed on significant matters and must determine when the Market Executive should be directly involved
- Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements and minimize risk
- Coach advisors in supporting the company strategy and continuing to grow their businesses.
Key Qualifications for the role:
- Candidates are required to currently hold SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) or equivalent licenses
- Series 3, 31 licenses, if warranted
- Minimum 5+ years professional experience required
- Proven ability to manage risk, make sound decisions by having a deep 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
- A deep appreciation and understanding of our client centric strategy
- Strong interpersonal skills to provide coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation
- Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk
- Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction
- Strong time management and organization skills with the ability to prioritize appropriately
- Prefer Market Supervision Manager experience, or completion of Merrill’s Office Management Team Associate Development Program
Desired Qualifications:
- Bachelor’s degree or equivalent work experience
1st shift (United States of America)