Merrill Market Supervision Manager

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• →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.

• →Performs, monitors, and demonstrates adherence to internal and external standards, policies, laws, rules, and regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel
• →Manages day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank's compliance policies and procedures
• →Coaches FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conduct
• →Partners with FAs, CAs, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank's enterprise risk appetite

• 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 of 5+ years professional experience
• 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

• Bachelor's degree or equivalent work experience
• Market Supervision Manager experience, or completion of Merrill's Office Management Team Associate Development Program​

• Decision Making
• Influence
• Negotiation
• Problem Solving
• Risk Management
• Adaptability
• Business Acumen
• Collaboration
• Oral Communications
• Relationship Building
• Business Operations Management
• Client Solutions Advisory
• Planning
• Talent Development
• Written Communications