Market Supervision Lead, Wealth Management Compliance

Bank of America; Stamford (CT); On-site; USD 120,000 - 190,000; Full time

Job summary

Bank of America’s Merrill Wealth Management seeks a Market Supervision Manager to lead compliance, risk mitigation and supervisory duties for market executives and offices. You will influence FA practices to minimize regulatory and financial risk, ensure proper licensing, and respond to inquiries while protecting the firm’s reputation.

As part of the Market Leadership Team, you will collaborate with CRM and ME peers, monitor activity, and guide teams to align with enterprise risk appetite,

Qualifications

• Current licenses: SIE, Series 7, Series 66 (or Series 63/65) and Series 9/10 (or Series 8) or equivalent
• Series 3 and Series 31 licenses, if warranted
• Minimum of 5+ years professional experience
• Strong knowledge of industry regulations, supervisory requirements, risk management and wealth management concepts

Responsibilities

• Performs and ensures adherence to standards, policies and regulations related to client advice and market personnel
• Manages day-to-day FA business needs while ensuring compliance policies
• Coaches FAs, Client Associates and market staff to drive policy adherence
• Partners with FAs and staff to manage risk and growth initiatives

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

Education

Bachelor's degree or equivalent work experience

Market Supervision Manager experience or Merrill's Office Management Team Associate Development Program

Job description

Bank of America’s Merrill Wealth Management seeks a Market Supervision Manager to lead compliance, risk mitigation and supervisory duties for market executives and offices. You will influence FA practices to minimize regulatory and financial risk, ensure proper licensing, and respond to inquiries while protecting the firm’s reputation.

As part of the Market Leadership Team, you will collaborate with CRM and ME peers, monitor activity, and guide teams to align with enterprise risk appetite,