What are the responsibilities and job description for the Wealth Management Governance Specialist position at Bank of America?
We are seeking a highly motivated and experienced Market Supervision Manager to join our team at Bank of America. As a Market Supervision Manager, you will play a key role in supporting the Firm's business objectives while ensuring regulatory and financial risk is minimized.
About the Position
This is an exciting opportunity for someone who wants to work in a fast-paced environment and has a strong understanding of compliance regulations. If you have excellent problem-solving skills and are able to effectively communicate with Financial Advisors, this could be the perfect fit for you.
Responsibilities:
- Oversee compliance functions related to the Merrill Wealth Management Market Executive's overall managerial responsibilities for parent and associate offices.
- Monitor advisor and client activity to ensure compliance with firm and regulatory requirements and minimize risk.
- Provide coaching and guidance to Financial Advisors on compliance matters.
Requirements:
- 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.
