• Finance & Accounting
  • 11501, Garden City, NY
  • Salary: $$110,000 – $150,000
  • Education: Bachelor’s Degree
  • Years of experience: 5-10
  • Skillset: Investment product knowledge (i.e., 401K, Options, Annuities, Tax, Retirement Plans, Money Funds, Mutual Funds, Liabilities, Margin, Trust Operations, etc.
  • Licensures: Series 7 AND Series 66 (or Series 63 AND Series 65), Series 9 AND Series 10 (or Series 8) equivalent licenses
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PostMatches By WorkStaff USA

A leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions . One of the largest businesses of its kind in the world specializing in goals-based wealth management, including planning for retirement, education, legacy, and other life goals through investment advice and guidance.

Financial Advisors help clients pursue the life they envision through a one-on-one relationship with an advisor committed to their needs.  We believe trust comes from transparency.  Our trusted financial advisors are equipped with access to the investment insights of Merrill coupled with the banking convenience.

The Market Supervision Manager (MSM) reports to the Division Supervision Executive (DSE) with dual reporting to the The MSM is a member of the Market Leadership Team, along with the Client Relationship Manager.

The MSM supports the Firm’s business objectives and contributes to the Market’s profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms’ reputation. Ultimately, the MSM protects the Firm, grows the business and serves the client by proactively managing and mitigating risk.

The Market Supervision Manager is responsible for a wide variety of delegated compliance, administrative and business functions related to the  Executive’s overall managerial responsibilities for parent and associate offices. He or she functions independently, or with minimal guidance, but must keep the Market Executive informed on significant matters and must determine when the Market Executive should be directly involved.

The Market Supervision Manager supports the company’s business objectives and contributes to market profitability by influencing Financial Advisor business practices in ways that minimize regulatory, financial and reputational risks.

Required Skills: “MUST” have these skills – See Below~

The ideal candidate is a self-motivated, client eccentric  individual who has:

Series 7, 66, 9, 10 (or equivalent) Licenses required
Series 3, 31 licenses, if warranted
Proven ability to manage risk, make sound decisions by having a 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
A deep appreciation and understanding of our client eccentric  strategy
Strong interpersonal skills to provide coaching to Financial Advisors to mitigate risk through segmentation, disciplined investment practices, and documentation
Strong analytical skills with ability to identify trends, root cause and effects, and implement improved processes to mitigate risk
Demonstrated strong and effective leadership style through clear communication and collaboration with others, making sound decisions with courage and conviction
Strong time management and organization skills with the ability to prioritize appropriately
Prefer Market Supervision Manager experience, or completion of Office Management Team Associate Development Program

Desired Education:

Bachelor’s degree or equivalent work experience

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