Market Supervision Manager

Bank of America

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

Posted 10/27/2026full-timeWhite Plains • New York • United StatesMid-LevelSenior💰 $115,000 - $160,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance management, risk assessment, and financial advisory coaching within the wealth management sector. Holds relevant licenses and possesses strong leadership and communication skills to effectively guide Financial Advisors and ensure adherence to regulatory standards.

Highest-signal resume keywords

SIE LicenseSeries 7 LicenseSeries 66 LicenseRisk ManagementWealth Management Concepts

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance ManagementFinancial Transactions MonitoringSales Practice PoliciesRegulatory Inquiries ResponseClient Concerns Resolution

Soft Skills

Interpersonal SkillsAnalytical SkillsTime ManagementOrganizationDecision-Making

Certifications & Qualifications

Series 3 LicenseSeries 31 License

Industry Keywords

Financial ServicesWealth ManagementMarket SupervisionClient Centric StrategySupervisory Requirements

About the role

Key responsibilities & impact

Manage delegated compliance, administrative, and business functions related to Merrill Wealth Management Market Executives' managerial responsibilities for parent and associate offices
Function independently or with minimal guidance while keeping the Market Executive informed on significant matters
Monitor advisor and client activity, including financial transactions, to ensure compliance and minimize risk
Coach 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 adherence to compliance 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 of business growth initiatives
Ensure Financial Advisors are properly licensed, respond to regulatory inquiries, and resolve client concerns or complaints
Keep the Division Supervision Executive informed on significant matters and determine when Market Executive involvement is required

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, 31 licenses, if warranted
Minimum of 5+ years professional experience
Proven ability to manage risk and 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
Deep appreciation and understanding of the client centric strategy
Strong interpersonal, analytical, time management, organization, leadership, communication, collaboration, and decision-making 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

Benefits

Comp & perks

Discretionary incentive eligible; eligible to participate in the annual discretionary plan
Benefits eligible
Access to paid time off
Resources and support to employees