Wealth Market Compliance & Risk Manager

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

Job summary

Bank of America Merrill Wealth Management in Princeton, NJ seeks a Market Supervision Manager to oversee compliance and risk for Market Executives and Financial Advisors, ensuring regulatory adherence and effective coaching. The role focuses on protecting the firm’s reputation while enabling profitable growth.

The position requires relevant licenses (SIE, Series 7/66 or 63/65, 9/10 or 8), 5+ years of experience, and strong leadership, communication, and risk-management skills.

Qualifications

• Currently 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, understand industry regulations and supervision requirements, wealth management concepts, and financial services products

Responsibilities

• Performs, monitors, and demonstrates adherence to internal and external standards, policies, laws, rules, and regulations related to client advice and recommendations, sales practice activities, and conduct of market personnel
• Manages day-to-day Financial Advisor (FA) business needs, while ensuring adherence to the bank’s compliance policies and procedures
• Coaches FAs, Client Associates (CAs), and other market personnel to drive adherence of policies and procedures related to the sales practice conduct
• Partners with FAs, CAs, and other market personnel to manage risk of business growth initiatives, ensuring alignment with the bank’s enterprise risk appetite

Skills

Decision Making

Influence

Negotiation

Risk Management

Leadership

Communication

Collaboration

Planning

Client Solutions Advisory

Governance

Education

Bachelor’s degree or equivalent work experience

Job description

Bank of America Merrill Wealth Management in Princeton, NJ seeks a Market Supervision Manager to oversee compliance and risk for Market Executives and Financial Advisors, ensuring regulatory adherence and effective coaching. The role focuses on protecting the firm’s reputation while enabling profitable growth.

The position requires relevant licenses (SIE, Series 7/66 or 63/65, 9/10 or 8), 5+ years of experience, and strong leadership, communication, and risk-management skills.