Market Supervision Manager
Bank of America
full-time
Posted on:
Location Type: Office
Location: Pensacola • Florida • United States
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About the role
- Manage delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices
- 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
Requirements
- 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
- 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
Benefits
- Health insurance
- Flexible work arrangements
- Professional development
- Paid time off
- Diversity and inclusion initiatives
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
financial transactionsrisk managementcompliance monitoringwealth management conceptsfinancial services products
Soft Skills
coachingdecision makingstrategic support
Certifications
SIESeries 7Series 66Series 63Series 65Series 9Series 10Series 8