Leitung des Standorts Frankfurt am Main im Bereich Baufinanzierung bei Dr. Klein. Verantwortung für Teamführung, Kundenberatung und Marktentwicklung mit viel Gestaltungsspielraum.
About the role
- Market Supervision Manager responsible for compliance and administrative support in wealth management. Ensuring adherence to standards while managing business needs for financial advisors.
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 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
- Provides inspection, coaching and feedback to motivate, differentiate and improve performance
- Actively manages expenses and budgets in alignment with objectives, making sound financial decisions.
- Delivers results by effectively prioritizing, inspecting and appropriately delegating team work.
Requirements
- Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent
- This role 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.
- Managing day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank's compliance policies and procedures
- Must adhere to internal and external standards, policies, laws, rules, and regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel
- Must demonstrate deep process knowledge and operational excellence
- Models an inclusive environment for employees and clients, aligned to company Great Place to Work goals.
Benefits
- Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors
- 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.
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