Be an early applicantLess than 25 applicants

Company

Original Job Post

Bank of America · 2 days ago

Merrill Market Supervision Manager

New York, NY

Full-time

Onsite

Mid, Senior Level

5+ years exp

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Asset ManagementBanking

H1B Sponsorship

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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

Qualification

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SIESeries 7Series 66Series 63Series 65Series 9Series 10Series 8Series 3Series 31Risk ManagementRegulatory ComplianceWealth ManagementFinancial ServicesProblem-SolvingDecision MakingMarket SupervisionOffice ManagementTeam Associate DevelopmentInterpersonalTime Management

Required

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, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, wealth management concepts, and financial services products

Preferred

Prefer Market Supervision Manager experience, or completion of Merrill’s Office Management Team Associate Development Program

Bachelor's degree or equivalent work experience

Benefits

Competitive benefits to support physical, emotional, and financial well-being

Company

Bank of America

Glassdoor

3.9

Bank of America is a financial institution that offers credit cards, home loans, and auto loan services.

Founded in 2007

Charlotte, North Carolina, USA

10,001+ employees

https://www.bankofamerica.com

H1B Sponsorship

Bank of America has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Trends of Total Sponsorships

2023 (422)

2022 (766)

2021 (728)

2020 (930)