Supervision Manager

Job Description:

The Supervision Manager position will serve to ensure regulatory compliance and corporate mandates for all administrative and operational activities performed in the Merrill Edge. Merrill Edge is a telephone-based platform that provides mass affluent clients with holistic financial advice and deepens client relationships by identifying broader product and service solutions to meet their investment, savings and credit needs. A predominant objective of the position is to limit risk and financial exposure to the business unit and the Firm and supervise the sales units’ overall adherence to Firm policies and procedures.

Required Skills: Must have these skills to be minimally qualified:

• FINRA Series 7, 8 or 9/10, 63/65 or 66 (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4 and 24 and 53)
• Strong Leadership and Communication skills
• 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         

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