PBIG Market Supervision Manager – Northern California

Location: San Francisco, CA, United States
Position Overview: 
The Market Supervision Manager (MSM) reports to the Merrill Lynch Wealth Management Market Executive (MLWM ME) with dual reporting to the Division Supervision Executive (DSE). The MSM is a member of the Market Leadership Team, along with the Client Relationship Manager. The MSM supports the Firm's business objectives and contributes to the Market's profitability by influencing FA business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Ultimately, the MSM protects the Firm, grows the business and serves the client by proactively managing and mitigating risk.

The Market Supervision Manager function’s as a member of the market leadership team, responsible for a wide variety of delegated compliance, administrative and business functions related to the MLWM ME's overall managerial responsibilities for parent and associate offices. He or she functions independently, or with minimal guidance, but must keep the MLWM ME informed on significant matters and must determine when the MLWM ME should be directly involved. The Market Supervision Manager supports the company's business objectives and contributes to market profitability by influencing Financial Advisor business practices in ways that minimize regulatory, financial and reputational risks.
 
Required Skills:
  • The ideal candidate is a self-motivated, client centric individual who has:
  • Series 7, 66, 9, 10 (or equivalent) Licenses required
  • Series 3, 31 licenses, if warranted
  • 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
  • Ability to speak in terms of client needs and concerns, and coach financial advisors on aligning solutions to goals in a suitable and controlled way
  • A deep appreciation and understanding of our client centric strategy
  • Strong interpersonal skills to provide coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation
  • Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk
  • Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction
  • Strong time management and organization skills with the ability to prioritize appropriately
  • Preferred Candidate is internal; If currently an internal associate, completion of Associate Office Management Team Development program and/or currently a Merrill Lynch Market Supervision Manager required
 
Desired Skills:
  • Bachelor’s degree or equivalent work experience
Melissa Galloway
ProEnlist, LLC
720-358-4638 Direct
720-507-2417 SMS
melissa@proenlist.com 
www.proenlist.com 

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