Merrill ADP Oversight Team Lead

The incumbent will provide leadership and guidance to a group of Supervision Principals responsible for the Merrill Lynch Advisor Development Program.  Additionally, the individual will oversee the reporting functions facilitated by the organization. The scope of monitoring includes a range of topics, including account approvals, Investment Advisory Program enrollment, Email Supervision and OTR/RMS escalations.  Principals in this function provide thought leadership, coaching, and guidance on a range of topics within the Advisory Development Program.   

The successful execution of this role will involve supporting supervision associates and principals, allocating and monitoring daily work volumes, providing ongoing support, and directing coaching and feedback to Associates/Principals in the function. This will require thorough documentation of leadership activities, reviews/coaching performance, metrics, trends and patterns, and developing/sharing best practices.  Lastly, as a Team Lead, you will be expected to lead and participate in strategic projects concurrently supporting the Supervision organization.

The incumbent will provide leadership and guidance to a group of Supervision Principals responsible for the Merrill Lynch Advisor Development Program.  Additionally, the individual will oversee the reporting functions facilitated by the organization. The scope of monitoring includes a range of topics, including account approvals, Investment Advisory Program enrollment, Email Supervision and OTR/RMS escalations.  Principals in this function provide thought leadership, coaching, and guidance on a range of topics within the Advisory Development Program.   

The successful execution of this role will involve supporting supervision associates and principals, allocating and monitoring daily work volumes, providing ongoing support, and directing coaching and feedback to Associates/Principals in the function. This will require thorough documentation of leadership activities, reviews/coaching performance, metrics, trends and patterns, and developing/sharing best practices.  Lastly, as a Team Lead, you will be expected to lead and participate in strategic projects concurrently supporting the Supervision organization.

Job Responsibilities

• Offer ongoing leadership support for a team of Supervision Principals and Associates across different sites, including overseeing timely and effective completion of the team’s assigned work, providing training and coaching, and escalating potential concerns to leadership.
• Conduct team engagement sessions to foster best practice sharing, opportunities for collective problem solving, and build a team culture of collaborative cohesion.
• Develop extensive partnership with field leaders (OMT) in an effort to resolve escalated issues and drive meaningful change within the organization. 
• Being a keen observer of a process, gathering feedback from multiple parties, and consider opportunities for process enhancement across a range of supervisory functions associated with the Advisory Development Program
• Participate and lead strategic projects that support the Supervision organization.
• Execute an assessment routine to ensure accuracy and consistency of work.
• Prepare/Participate in Performance Management discussions with team leadership

• FINRA Series 7, and 8 or 9/10, and 63/65 or 66 required (in lieu of the 8 or 9/10, we would also consider someone with the 4, 24 and 53).  
• 5 years prior business experience in the securities industry, with good working knowledge of the industry, various security types and investment advisory programs.
• Prior Experience in a Management/Leadership Role is a not required but a plus.
• Excellent knowledge of Microsoft Office, with a particular emphasis on Microsoft Excel.  Proficiency in working with large data sets, formula writing, Pivot Tables and VBA Macros is preferred.
• Superior interpersonal skills, as well as excellent verbal and written communication skills in order to interface with financial advisors and all levels of the branch office management teams, various home office contacts and business partners.
• Business maturity as the incumbent will be required to interface directly with various levels of management (both home office and the branch) and financial advisors and will need to identify and explain potential issues and influence positive outcomes, when applicable.
• Self-starter with strong work ethics, flexibility, and a sense of responsibility.