Trade and Client Review Supervision Principal – Supervision Principal IV
Job Description:
Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Management is one of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.
Merrill’s Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America.
At Merrill, we empower you to bring your whole self to work. We value diversity in our thoughts, business, and within our employees and clients. Our Wealth Management team represents an array of different backgrounds and brings their unique perspectives, ideas, and experiences.
Job Responsibilities:
* Ensures compliance with policies, procedures, and regulations and oversees processes within a supervision group to identify, monitor, and limit risk and financial exposure to the business.
* Partners and builds relationships with Field Supervision leaders, Office Management Teams, Financial Advisors, Wealth Management Associates, Product Managers, and Control Partners to resolve inquiries effectively and promptly.
* Reviews and decisions alerts and tasks within a system of record application, while leveraging sound and consistent supervisory judgment.
* Identifies and appropriately escalates emerging risks and trends that may not be readily recognized via existing routines, informed by established criteria, risk factors, and metrics.
* Manages and prioritizes multiple tasks and maintains quality and timeliness of work deliverables and timelines.
Skills:
* Attention to Detail
* Prioritization
* Problem Solving
* Relationship Building
* Risk Management
* Decision Making
* Interpret Relevant Laws, Rules, and Regulations
* Written Communications
* Adaptability
* Business Process Analysis
* Collaboration
* Oral Communications
* Strong communication and analytical skills
* Excellent organizational skills
* Ability to work independently
* Shows dedication to getting the job done accurately and efficiently.
* Demonstrating sound and consistent supervisory judgment based on thorough and systematic review of information available.
* Makes timely, risk-based decisions and acts decisively.
* Maintaining positive outlook, receptivity to constructive feedback, and flexibility to accommodate changing processes, policies, and regulations.
Licenses required: Series 7, 63, 65, 9/10 or equivalent.
Minimum Education Requirement: Bachelor’s Degree (or equivalent work experience) required.
Shift: 1st shift (United States of America)
Hours Per Week: 40
Pay Transparency details: Pay range $87,000.00 - $108,500.00 annualized salary, offers to be determined based on experience, education, and skill set. Discretionary incentive eligible. This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company. Benefits: This role is currently benefits eligible. We provide industry-leading benefits, access to paid time off, resources, and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.
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