Merrill Market Supervision Manager
$115,000–$160,000 year
On-sitePrinceton, Florida, United States
Job Summary
Monitor advisor and client activity, including financial transactions, to ensure compliance with firm and regulatory requirements while minimizing risk. Manage delegated compliance, administrative, and business functions for Market Executives, coaching Financial Advisors and Client Associates on sales practice conduct and policy adherence. Partner with market personnel to manage risk for business growth initiatives and resolve client concerns or complaints. Work independently with minimal guidance, keeping Market Executives informed on significant matters. This role supports the Firm's business objectives by influencing Financial Advisor business practices to uphold the Firm's reputation and grow the business.
Required Qualifications
- 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
- Must be able to lift 50 lbs
Desired Qualifications
- Bachelor's degree or equivalent work experience
- Market Supervision Manager experience, or completion of Merrill's Office Management Team Associate Development Program
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.