Description
:
This job is responsible for supervising client account activities by monitoring administrative, sales, and trading tasks performed by registered employees. Key responsibilities include limiting risk and financial exposure to the business unit and the bank for registered employees located in call centers or financial centers. Job expectations include overseeing day-to-day front line supervision, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, trade correction, and complaint resolution. Ensures employees comply with policies, procedures, and regulations to limit risk and financial exposure to the business and the firm. Creates and oversees team workflow, including mandated supervisory reviews and enterprise alerts, trade, solution and enrollment review, and trade correction for consumer investments. Monitors employees in call centers or financial centers ability to handle and resolve complaints.
Required Qualifications :
Prefer candidates holding FINRA Series 7, 8 or 9/10, 63/65 or 66 (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4 and 24 and 53)
Would consider candidates with only the Series 7 and 63/65 or 66; however candidate must be willing to obtain remaining licenses within a specified timeframe
Strong Leadership and Communication skills
Able to foster collaborative relationships within and across business units
Demonstrate integrity and remains calm under pressure
Familiarity with compliance and regulatory issues
Proficient in Microsoft Office applications
Merrill Edge, Merrill Lynch, or Operations experience
Skills:
1. Attention to Detail
2. Continuous Improvement
3. Controls Management
4. Risk Management
5. Fraud Management
6. Issue Management
7. Monitoring, Surveillance, and Testing
8. Policies, Procedures, and Guidelines Management
9. Regulatory Relations
10. Active Listening
11. Decision Making
12. Due Diligence
13. Leadership Development
14. Oral Communications
Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent
Shift:
1st shift (United States of America)
Hours Per Week:
40