Market Supervision Manager

Bank of America

. Manage delegated compliance, administrative, and business functions related to Market Executives' managerial responsibilities for parent and associate offices .

Posted 9/16/2026full-timeWhite Plains • New York • United StatesMid-LevelSenior💰 $115,000 - $160,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance management, risk assessment, and financial advisory coaching, ensuring adherence to regulatory standards and alignment with client-centric strategies. Proven ability to lead teams effectively while managing day-to-day business needs and resolving client concerns.

Highest-signal resume keywords

SIE, Series 7, AND Series 66 LicensesRisk ManagementFinancial Advisory CoachingRegulatory ComplianceLeadership and Communication

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance ManagementRisk AssessmentFinancial Transactions MonitoringWealth Management ConceptsRegulatory Requirements UnderstandingSales-Practice PoliciesClient Relationship ManagementAnalytical SkillsDecision-MakingTime Management

Soft Skills

Interpersonal SkillsOrganizational SkillsCoaching AbilityCollaborationClient-Centric Approach

Certifications & Qualifications

SIE LicenseSeries 7 LicenseSeries 66 LicenseSeries 9 LicenseSeries 10 LicenseSeries 3 LicenseSeries 31 License

Industry Keywords

Financial ServicesMarket SupervisionRegulatory ComplianceWealth ManagementClient Needs Assessment

About the role

Key responsibilities & impact

Manage delegated compliance, administrative, and business functions related to Market Executives' managerial responsibilities for parent and associate offices
Work independently or with minimal guidance while keeping the Market Executive informed on significant matters
Determine when the Market Executive should be directly involved
Monitor advisor and client activity, including financial transactions, for compliance with firm and regulatory requirements
Minimize regulatory, financial, and reputational risk
Coach Financial Advisors in supporting company strategy and growing their businesses
Perform, monitor, and demonstrate adherence to internal and external standards, policies, laws, rules, and regulations
Manage day-to-day Financial Advisor business needs while ensuring compliance with bank policies and procedures
Coach Financial Advisors, Client Associates, and other market personnel on sales-practice policies and procedures
Partner with Financial Advisors, Client Associates, and other market personnel to manage risk in business-growth initiatives
Ensure alignment with the bank's enterprise risk appetite
Ensure Financial Advisors are properly licensed
Respond to regulatory inquiries
Resolve client concerns or complaints
Keep the Market Executive and Division Supervision Executive informed on significant matters

Requirements

What you’ll need

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 and 31 licenses, if warranted
Minimum of 5+ years professional experience
Proven ability to manage risk and make sound decisions
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
Ability to coach Financial Advisors on aligning solutions to goals in a suitable and controlled way
Deep appreciation and understanding of the client-centric strategy
Strong interpersonal skills
Strong analytical skills, including identifying trends, root causes and effects, and implementing improved processes
Demonstrated strong and effective leadership style through clear communication and collaboration
Strong time management and organizational skills
Bachelor's degree or equivalent work experience (desired qualification)
Market Supervision Manager experience, or completion of Merrill's Office Management Team Associate Development Program (desired qualification)

Benefits

Comp & perks

Discretionary incentive eligible
Eligible to participate in the annual discretionary plan
Annual discretionary award based on individual performance, line of business and/or group performance, and overall Company success
Benefits eligible
Industry-leading benefits
Paid time off
Resources and support to make an impact and contribute to sustainable business and community growth