Merrill Market Supervision Manager
Core
Manage delegated compliance, administrative, and business functions for a Merrill Wealth Management market, ensuring Financial Advisors adhere to regulatory requirements and firm policies.
Role type
Market Supervision Manager
Builds
Compliance adherence and risk mitigation for wealth management business operations
Domain
Financial Services / Wealth Management
Deliverable
client delivery
Required skills
Regulatory compliance, risk management, financial services product knowledge, supervisory requirements, policy enforcement, business operations management
Preferred skills
Coaching, segmentation, disciplined investment practices, process improvement, leadership, time management
Technologies
N/A
Responsibilities
Monitor advisor and client activity including financial transactions to ensure compliance; Coach advisors and market personnel on adherence to sales practice conduct policies; Manage day-to-day Financial Advisor business needs while ensuring adherence to compliance procedures; Partner with market personnel to manage risk of business growth initiatives
Seniority
Manager, hands-on IC