Wealth Market Compliance & Risk Leader

Bank of America Corporation; City of White Plains (NY); On-site; USD 115,000 - 160,000; Full time

Benefits offered by this job

Benefits eligible

Job summary

Bank of America Corporation in White Plains seeks a Market Supervision Manager to support Merrill Wealth Management Market Executives. This role focuses on minimizing regulatory and financial risk while ensuring proper licensing and compliance across offices.

You will work with Financial Advisors, Client Associates, and market teams to uphold the firm’s reputation and pursue profitability, providing strong leadership and guidance.

Qualifications

• SIE, Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) licenses.
• Series 3, 31 licenses, if warranted.
• Minimum of 5+ years professional experience.
• Proven ability to manage risk, understand regulations and supervisory requirements.

Responsibilities

• Perform and monitor adherence to standards, policies, laws and regulations related to client advice and sales activities.
• Manage day-to-day FA business needs while ensuring compliance with policies.
• Coach FAs, CAs, and market personnel to drive policy adherence.
• Partner with FAs, CAs and market personnel to manage risk of 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

Market Supervision Manager experience

Job description

Bank of America Corporation in White Plains seeks a Market Supervision Manager to support Merrill Wealth Management Market Executives. This role focuses on minimizing regulatory and financial risk while ensuring proper licensing and compliance across offices.

You will work with Financial Advisors, Client Associates, and market teams to uphold the firm’s reputation and pursue profitability, providing strong leadership and guidance.