Market Supervision Manager
The Market Supervision Manager is responsible for a wide variety of delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive’s overall managerial responsibilities for parent and associate offices. He or she 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. The Market Supervision Manager supports the company’s business objectives and contributes to market profitability by influencing Financial Advisor business practices in ways that minimize regulatory, financial and reputational risks.
The ideal candidate is a self-motivated, client-centric individual who has:
• Series 7, 66, 9, 10 (or equivalent) Licenses required
• Series 3, 31 licenses, if warranted
• 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
Bachelor’s degree or equivalent work experience.