Wealth Market Compliance & Risk Lead

ghr; Westlake Village (CA); On-site; USD 115,000 - 160,000; Full time

Job summary

Merrill Wealth Management is seeking a Market Supervision Manager to support Market Executives in managing compliance, risk, and client outcomes across offices.

You will ensure proper licensing, respond to regulatory inquiries, and coach Financial Advisors and Client Associates to grow the business while upholding the Firm's reputation.

This role requires independent judgment, strong leadership, and the ability to work with minimal guidance.

Qualifications

• Licensed in 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
• Proven ability to manage risk, understand industry regulations, supervisory requirements, policies/procedures, and wealth management concepts

Responsibilities

• Manages delegated compliance, administrative and business functions for Market Executives' offices
• Operates independently while keeping the Market Executive informed on significant matters
• Monitors advisor and client activity to ensure compliance and minimize risk
• Coaches Financial Advisors and Client Associates to align with company strategy and grow their businesses

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 completion of Merrill's Office Management Team Associate Development Program

Job description

Merrill Wealth Management is seeking a Market Supervision Manager to support Market Executives in managing compliance, risk, and client outcomes across offices.

You will ensure proper licensing, respond to regulatory inquiries, and coach Financial Advisors and Client Associates to grow the business while upholding the Firm's reputation.

This role requires independent judgment, strong leadership, and the ability to work with minimal guidance.