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Supervision Manager - Lincoln

Lincoln, Rhode Island

Job Description:

The Supervision Manager serves to ensure regulatory compliance and corporate mandates for all administrative, sales, and operational activities performed by registered associates within the Merrill Edge Self Directed (MESD) Channel and/or Merrill Edge Client Management. Primarily responsible for limiting risk and financial exposure to the business unit and the firm for registered associates located in call centers or financial centers. Series 7, 66, or equivalent required, 9/10 or ability to obtain within 120 days.


Responsibilities include (but are not limited to) the following:

·        Reviews and responds to Sales Practice client complaints received verbally or in writing for Merrill Edge

·        Conducts thorough supervisory reviews of account transactions including Risk Management System (RMS), End of Day (EOD) and Online Trade Review (OTR)

·        Approves new accounts and margin requests

·        Approves and reviews trade corrections

·        Option strategy approval and ongoing supervision

·        Reviews and maintains all Compliance and Regulatory Correspondence

·        Performs client contact as necessary

·        Manages projects and initiatives to improve sales supervision and risk management

·        Develops advisor proficiency through supplemental training, active coaching & remediation of policy and procedure violations


Required skills:

·        Bachelor's degree or equivalent work experience

·        FINRA Series 7, 8 or 9/10, 63/65 or 66 or equivalent to be considered for the role

·        Familiarity with compliance and regulatory issues

·        Strong leadership abilities, communication and delegation skills

·        Familiarity with Microsoft Word, Excel and PowerPoint

·        Proven ability to manage risk and make sound decisions by having a deep understanding of industry regulations, supervisory requirements, and policies/procedures

·        Ability to identify client needs and concerns, and coach advisors on aligning solutions to goals in a suitable and controlled way

·        Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk

·        Ability to demonstrate strong and effective leadership style through clear communication and collaboration with other partners to make sound decisions with courage and conviction

·        Able to foster collaborative relationships within and across business units

·        Demonstrate integrity and remains calm under pressure

·        Familiarity with compliance and regulatory issues

·        Proficient in Microsoft Office applications

·        Merrill Edge, Merrill Lynch, or Operations experience



1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: Yes, 5% of the time


Talent Acquisition Contact:

Referral Bonus:

Street Address

Primary Location:
670 GEORGE WASHINGTON HWY, RI, Lincoln, 02865