FINRA-Licensed Client Accounts Supervisor

Jobtailor; New Jersey; On-site; USD 110,000 - 140,000; Full time

Job summary

Merrill Edge seeks a seasoned supervisor to oversee client account activities, monitoring tasks performed by registered employees and ensuring robust controls. This role focuses on limiting risk while maintaining high service standards.

You will lead frontline teams, conduct mandated reviews and enterprise alerts, oversee trade and enrollment reviews, and ensure regulatory compliance across administrative and operational activities within the business unit.

Qualifications

• FINRA licenses and regulatory qualifications are required at hire.
• Demonstrated leadership and the ability to communicate clearly under pressure.
• Experience navigating regulatory and compliance issues within financial services.

Responsibilities

• Supervise client account activities by monitoring tasks performed by registered employees.
• Limit risk and financial exposure to the business unit and Bank of America.
• Oversee day-to-day frontline supervision, including reviews and enterprise alerts.
• Conduct trade, solution, and enrollment reviews and corrections as needed.
• Ensure regulatory compliance and adherence to corporate mandates for Merrill Edge activities.
• Create and oversee team workflow for consumer investments.
• Monitor employees’ ability to handle and resolve complaints.
• Review and maintain client, compliance, and regulatory correspondence.
• Monitor and review client accounts for risks related to mutual funds, margin usage.
• Complete annual registered representative reviews for each FSA using supervisory applications.
• Escalate emerging risks within the enterprise risk framework.

Skills

Leadership

Communication

Collaborative relationships

Integrity under pressure

Regulatory compliance knowledge

Microsoft Office

Tools

Supervisory Applications

Microsoft Office Suite

Job description

Merrill Edge seeks a seasoned supervisor to oversee client account activities, monitoring tasks performed by registered employees and ensuring robust controls. This role focuses on limiting risk while maintaining high service standards.

You will lead frontline teams, conduct mandated reviews and enterprise alerts, oversee trade and enrollment reviews, and ensure regulatory compliance across administrative and operational activities within the business unit.