Market Supervision Manager

About Merrill Wealth Management

Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.

Merrill's Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America.

Merrill is committed to an in-office culture with specific requirements for office-based attendance which allows for an appropriate level of flexibility for our teammates and businesses based on role-specific considerations.

At Merrill, we empower you to bring your whole self to work. We value diversity in our thoughts, business, and within our employees and clients. Our Wealth Management team represents an array of different backgrounds and bring their unique perspectives, ideas and experiences, helping to create a work community that is culture driven, resilient, results focused and effective.

This job is responsible for a wide variety of delegated compliance, administrative, and business functions to support the Merrill Wealth Management Market Executives (MEs) overall managerial and supervisory responsibilities. Key responsibilities include supporting business objectives and contributing to market profitability by influencing Financial Advisor business practices to minimize regulatory, financial, and reputational risks. Job expectations include working independently or with minimal guidance, while keeping the ME and Division Supervision Executive informed on significant matters.

• 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.

• Opportunity & Inclusion Champion:
  Models an inclusive environment for employees and clients, aligned to company Great Place to Work goals.
• Manager of Process & Data:
  Demonstrates deep process knowledge, operational excellence and innovation through a focus on simplicity, data based decision making and continuous improvement.
• Enterprise Advocate & Communicator:
  Communicates enterprise decisions, purpose, and results, and connects to team strategy, priorities and contributions.
• Risk Manager:
  Ensures proper risk discipline, controls and culture are in place to identify, elevate and debate issues.
• People Manager & Coach:
  Provides instruction, coaching and feedback to motivate, differentiate and improve performance.
• Financial Steward:
  Actively manages expenses and budgets in alignment with objectives, making sound financial decisions.
• Enterprise Talent Leader:
  Assesses talent and builds bench strength for roles across the organization.
• Driver of Business Outcomes:
  Delivers results by effectively prioritizing, inspecting and appropriately delegating team work.

• 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

High School Diploma / GED / Secondary School or equivalent

The following laws or regulations restrict or prohibit the hiring of individuals with certain specified criminal history for the position: FDIC; FINRA.

1st shift (United States of America)

40

$ - $ annualized salary, offers to be determined based on experience, education and skill set.

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

This role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources and support to our employees so they can make a genuine impact and contribute…