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 bring their unique perspectives, ideas and experiences, helping to create a work community that is culture driven, resilient, results focused and effective.
Job Description:
Supervision Associates in this role are responsible for daily ongoing review of all electronic communications sent to or received by employees of designated branch office and other GWIM locations.Content is reviewed for adherence to company standards for suitability, professionalism, compliance with industry regulations and the company's standards for respect for the individual.
The E-Communication team performs duties as an extension of or substitute to field management, including but not limited to: identifying risk, researching activity, and escalating concerning trends or patterns.Supervision Associates in this role will also continuously support the functions of the broader Specialized Supervision team including but not limited to: electronic communications, enhanced monitoring or other targeted reviews of specific Financial Advisor populations.
Performing regulatory mandated supervision of daily activity and other ad-hoc reviews for assigned markets.
•Working closely with field management, FAs, and other business partners by establishing and maintaining positive working relationships to ensure business is conducted within guidelines set by the Firm and industry regulations.
•Maintaining a high level of intellectual curiosity; asking pertinent questions to gather relevant facts surrounding a problem, issue, or objective; weighing the relative importance, adequacy, and validity of information to form fact-based opinions, solve problems, and make sound decisions.
•Communicating effectively (both written and oral) with internal staff, Supervision leadership, business partners, field management, and FAs using clear, concise and understandable language.
•Producing regular commentary on items of concern, ongoing issues, and recurring patterns at an associate or market level.Proactively anticipating and identifying concerns/issues as part of one’s daily responsibilities.
•Demonstrating sound and consistent supervisory judgment based on thorough and systematic review of available information.
•Maintaining positive outlook, receptivity to constructive feedback, and flexibility to accommodate changing volumes, processes, policies, and regulations.
•Openness to periodic travel (1-2 days) in support of relationship building with field management and FAs.
The Supervision Associate I role, under the direction of a team lead or manager, provides administrative, operational and supervisory support within a supervision group for multiple business channels. Duties include analysis, resolution, and escalation of activities and reporting requirements related to supervision and control. Position must have understanding of policies and procedures and the ability to apply sound judgment when dealing with day to day activities and sensitive client issues.
Required Skills:
•2 year minimum industry experience
•Strong technical, analytical and communication skills
•Detail oriented and strong time management and organizational skills
•Ability to work independently
•Actively promotes and exhibits behaviors in a professional manner
Desired Skills:
•Series 7 & 66 licenses helpful
•Branch office experience or exposure
•Working knowledge of security products and services
•Working knowledge of regulatory policies, specifically ML policies/procedures would be helpful.
Skills:
- Attention to Detail
- Prioritization
- Risk Management
- Decision Making
- Interpret Relevant Laws, Rules, and Regulations
- Problem Solving
- Written Communications
- Adaptability
- Business Process Analysis
- Collaboration
- Oral Communications
- Relationship Building
Minimum Education Requirement:Bachelor’s Degree (or equivalent work experience)
Shift:
1st shift (United States of America)
Hours Per Week:
40
