Wealth Market Supervision Manager: Risk & Compliance Leader

Bank of America; Melville (LA); Vor Ort; USD 115.000 - 160.000; Vollzeit

Benefits dieser Stelle

Annual incentive plan

Industry-leading benefits

Paid time off

Zusammenfassung

Bank of America’s Merrill Wealth Management is seeking a Market Supervision Manager to join our in-office team in Melville, NY. The role focuses on compliance, risk management, and oversight of Financial Advisors and Client Associates to protect the firm’s reputation and profitability.

You will guide risk-aware practices, ensure proper licensing, respond to regulatory inquiries, and partner with market leaders to balance growth with prudent governance in a fast-paced wealth management

Qualifikationen

• Licenses required: SIE, Series 7 and Series 66 (or Series 63 and 65), Series 9 and Series 10 (or 8) or equivalent.
• Series 3, 31 licenses if warranted.
• Minimum of 5+ years professional experience in wealth management or financial services.
• Strong knowledge of industry regulations and supervisory requirements.

Aufgaben

• Support Market Executives’ managerial responsibilities while minimizing regulatory and financial risk.
• Monitor advisor and client activity for compliance with firm policies.
• Coach Financial Advisors and staff to align solutions with client goals.
• Collaborate with stakeholders to manage risk in growth initiatives.

Kenntnisse

Risk Management

Leadership

Client Relations

Regulatory Knowledge

Decision Making

Communication

Coaching

Team Collaboration

Ausbildung

Bachelor’s degree or equivalent work experience

Jobbeschreibung

Bank of America’s Merrill Wealth Management is seeking a Market Supervision Manager to join our in-office team in Melville, NY. The role focuses on compliance, risk management, and oversight of Financial Advisors and Client Associates to protect the firm’s reputation and profitability.

You will guide risk-aware practices, ensure proper licensing, respond to regulatory inquiries, and partner with market leaders to balance growth with prudent governance in a fast-paced wealth management