Wealth Market Compliance & Risk Leader

Bank of America; Greensboro (NC); On-site; USD 120,000 - 180,000; Full time

Job summary

Bank of America’s Merrill Wealth Management is seeking a Market Supervision Manager to lead compliance, risk management, and supervision of Financial Advisors across markets. You will influence FA practices to minimize regulatory and financial risk while ensuring licensing and regulatory inquiries are handled effectively.

The role supports market profitability, drives risk-aware decision making, and requires collaboration with market leaders.

Qualifications

• Hold 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, 31 licenses, if warranted.
• Minimum of 5+ years professional experience.
• Proven ability to manage risk and understand regulations, supervisory requirements and wealth management concepts.

Responsibilities

• Performs, monitors, and ensures adherence to standards, policies, laws, rules and regulations for client advice and market personnel conduct.
• Manages day-to-day Financial Advisor business needs while ensuring adherence to bank compliance policies.
• Coaches FAs, Client Associates, and market personnel to drive policy adherence related to sales practice.
• Partners with FAs and other personnel to manage risk of growth initiatives in line with enterprise risk appetite.

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

Job description

Bank of America’s Merrill Wealth Management is seeking a Market Supervision Manager to lead compliance, risk management, and supervision of Financial Advisors across markets. You will influence FA practices to minimize regulatory and financial risk while ensuring licensing and regulatory inquiries are handled effectively.

The role supports market profitability, drives risk-aware decision making, and requires collaboration with market leaders.