Merrill Private Wealth Supervision Manager
Core
Supervise Private Wealth Advisors and support ultra-high-net-worth clients to ensure compliance with laws and policies while managing risk.
Role type
Senior IC Private Wealth Supervision Manager
Builds
Client outcomes and branch office profitability through risk mitigation and compliant business practices
Domain
Wealth Management / Financial Services
Required skills
Series 7, 66, 9, 10 licenses; Series 3, 31 licenses (if warranted); risk management; industry regulations knowledge; supervisory requirements expertise; wealth management concepts; financial services products; client needs analysis; advisor coaching; regulatory risk mitigation; financial risk mitigation; reputational risk mitigation; trend identification; root cause analysis; process improvement; leadership; time management
Preferred skills
Decision making; influence; negotiation; problem solving; adaptability; business acumen; collaboration; planning; talent development
Technologies
None stated
Responsibilities
Supervise Private Wealth Advisors; support clients to ensure compliance; manage risk associated with client outcomes; coach advisors on aligning solutions to goals; monitor adherence to policies; serve as independent voice on risk; contribute to branch office profitability; partner with Regional Managing Director; partner with Centralized Supervision
Seniority
Senior, hands-on IC