Merrill Market Supervision Manager
$115,000–$160,000 year
On-siteMinneapolis, Minnesota, United States
Minneapolis, Minnesota, United StatesOn-siteFull Time$115,000–$160,000 yearLarge
Full TimeLarge
Job Summary
Manage delegated compliance, administrative, and business functions for Market Executives, monitoring advisor and client activity to ensure adherence to firm and regulatory requirements. Coach Financial Advisors and Client Associates on sales practice conduct, risk mitigation, and alignment with company strategy while responding to regulatory inquiries and resolving client concerns. Work independently with minimal guidance to support market profitability by influencing Financial Advisor business practices that minimize regulatory, financial, and reputational risks.
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
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