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 IC market supervision manager
Builds
Compliance frameworks and risk mitigation strategies for Financial Advisors
Domain
Wealth management / Financial services regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Risk management, Regulatory compliance, Financial services product knowledge, Coaching/mentoring, Analytical skills, Decision making, Business operations management, Client solutions advisory, Planning, Talent development
Preferred skills
Market Supervision Manager experience, Office Management Team Associate Development Program completion
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 related to sales practice conduct; Manage day-to-day Financial Advisor business needs while ensuring adherence to the bank's compliance policies and procedures; Partner with market personnel to manage risk of business growth initiatives, ensuring alignment with the bank's enterprise risk appetite
Seniority
Senior, hands-on IC