layiq

/la·yiq/adjective

worthy; deserving; fitting; suitable.

A role, opportunity, or path that merits attention, time, and pursuit.

Merrill Market Supervision Manager at Bank of America | LAYIQ

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

Merrill Market Supervision Manager

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