Merrill Market Supervision Manager

Merrill Market Supervision Manager Merrill 4 ( ) Westlake Village, CA Why you should apply for a job to

Merrill :

4/5 in overall job satisfaction 4.6/5 in supportive management 80% say women are treated fairly and equally to men 80% would recommend this company to other women 60% say the CEO supports gender diversity Ratings are based on anonymous reviews by Fairygodboss members. See all reviews After working one year, employees can take up to 16 weeks of paid maternity, paternity, and adoption leave. Life Event Services team provides resources and benefits for life events like retirement; loss of a loved one; or gender transition. Employee Financial Services offers U.S. employees financial education and special access to financial products, services and expertise. #

JR-26013516

Position summary nts for office-based attendance and 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.

Job Description:

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. The Market Supervision Manager (MSM) is a member of the Market Leadership Team, along with the Market Client Relationship Manager (CRM). The Market Supervision Manager (MSM) supports the Firm's business objectives and contributes to the Market's profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Additionally, they ensure Financial Advisors are properly licensed; respond to regulatory inquiries and resolve client concerns or complaints. Ultimately, the MSM protects the Firm, grows the business, and serves the client by proactively managing and mitigating risk. What you'll accomplish: Manage delegated compliance, administrative and business functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices This individual 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 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.

Responsibilities:

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

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 Key Qualifications for the role: 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

Desired Qualifications:

Bachelor's degree or equivalent work experience Market Supervision Manager experience, or completion of

Merrill's Office Management Team Associate Development Program Skills:

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 The following laws or regulations restrict or prohibit the hiring of individuals with certain specified criminal history for the position: FDIC; FINRA. Internal employees who are currently working from home are still eligible to apply. However, if selected for the role, you may be required to work onsite in accordance with the workplace excellence policy

Shift:

1st shift (United States of America)

Hours Per Week:

40 Pay Transparency details US

• CA•Westlake Village•2815 TOWNSGATE RD (CA6811) Pay and benefits information Pay range $112,200.

00

• $160,000.

00 annualized salary, offers to be determined based on experience, education and skill set. Discretionary incentive eligible 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. Benefits 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 to the sustainable growth of our business and the communities we serve. Why you should apply for a job to

Merrill :

4/5 in overall job satisfaction 4.6/5 in supportive management 80% say women are treated fairly and equally to men 80% would recommend this company to other women 60% say the CEO supports gender diversity Ratings are based on anonymous reviews by Fairygodboss members. See all reviews After working one year, employees can take up to 16 weeks of paid maternity, paternity, and adoption leave. Life Event Services team provides resources and benefits for life events like retirement; loss of a loved one; or gender transition. Employee Financial Services offers U.S. employees financial education and special access to financial products, services and expertise.