This job is responsible for supervising client account activities by monitoring administrative, sales, and trading tasks performed by registered employees.
Key responsibilities include limiting risk and financial exposure to the business unit and the bank for registered employees located in call centers or financial centers.
Job expectations include overseeing day-to-day front line supervision, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, trade correction, and complaint resolution.
The Supervision Manager position will serve to ensure regulatory compliance and corporate mandates for all administrative and operational activities performed in the Merrill Edge.
A predominant objective of the position is to limit risk and financial exposure to the business unit and the Firm and supervise the sales units’ overall adherence to Firm policies and procedures.
Requirements
Strong Leadership and Communication skills
Able to foster collaborative relationships within and across business units
Demonstrate integrity and remains calm under pressure
Familiarity with compliance and regulatory issues
Proficient in Microsoft Office applications
Merrill Edge, Merrill Lynch, or Operations experience
Licenses needed at hire: FINRA Series 7, 8 or 9/10, 63/65 or 66 (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4 and 24 and 53)
Benefits
Discretionary incentive eligible
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.
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.
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