Wealth Management Market Supervisor & Risk Coach

ghr; Stamford (CT); On-site; USD 115,000 - 160,000; Full time

Job summary

Merrill Wealth Management in Stamford, CT is seeking an experienced Market Executive Support professional to oversee delegated compliance and day-to-day FA operations. You will monitor advisor activity, coach financial advisors, and partner with market staff to manage risk and ensure adherence to policies and regulatory requirements.

This role requires strong regulatory knowledge and leadership in an office-based environment.

Qualifications

• 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 and 31 licenses, if warranted.
• Minimum of 5+ years professional experience.
• Strong understanding of industry regulations, supervisory requirements, policies and procedures, wealth management concepts and financial services products.

Responsibilities

• Manage delegated compliance, administrative and business functions for Market Executive's offices.
• Monitor advisor and client activity to ensure regulatory compliance and minimize risk.
• Coach advisors to grow their businesses and align solutions to client goals.
• Partner with market personnel to manage risk of growth initiatives.

Skills

Regulatory compliance

Risk assessment

Coaching

Client advisory

Leadership

Education

Bachelor's degree or equivalent

Job description

Merrill Wealth Management in Stamford, CT is seeking an experienced Market Executive Support professional to oversee delegated compliance and day-to-day FA operations. You will monitor advisor activity, coach financial advisors, and partner with market staff to manage risk and ensure adherence to policies and regulatory requirements.

This role requires strong regulatory knowledge and leadership in an office-based environment.