Wealth Market Compliance & Risk Manager

Bank of America; Minneapolis (MN); On-site; USD 115,000 - 160,000; Full time

Job summary

Bank of America in Minneapolis, MN, is seeking a Market Supervision Manager to support the Market Executives in managing delegated compliance and business functions. The role requires monitoring advisor activities and ensuring regulatory and enterprise risk oversight while collaborating with the Market Leadership Team.

The position emphasizes coaching Financial Advisors and other market personnel to align client solutions with firm policies, driving responsible growth and mitigating risk within

Qualifications

• Bachelor's degree or equivalent work experience required.
• Market Supervision Manager experience or completion of Merrill's Office Management Team Associate Development Program preferred.
• Licensing requirements: SIE, Series 7, Series 66 (or Series 63 and 65), Series 9 and 10 (or Series 8) meet regulatory needs.

Responsibilities

• Supports Market Executives in managing delegated compliance, administrative and business functions.
• Monitors advisor and client activity to ensure regulatory compliance and minimize risk.
• Coaches Financial Advisors and other market personnel to adhere to policies and procedures and manage risk.

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 in Minneapolis, MN, is seeking a Market Supervision Manager to support the Market Executives in managing delegated compliance and business functions. The role requires monitoring advisor activities and ensuring regulatory and enterprise risk oversight while collaborating with the Market Leadership Team.

The position emphasizes coaching Financial Advisors and other market personnel to align client solutions with firm policies, driving responsible growth and mitigating risk within