Fiduciary Assessments Supervision Principal II

Fiduciary Assessments Supervision Principal II Job Description: Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Wealth Management is 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. Merrill’s Financial Advisors and Wealth Management Client Associates help clients pursue the life they envision through a personal relationship with their advisory team committed to their needs. We believe trust comes from transparency. Our trusted advisory teams are equipped with access to the investment insights of Merrill coupled with the banking convenience of Bank of America. At Merrill, we empower you to bring your whole self to work. We value diversity in our thoughts, business, and within our employees and clients. Our Wealth Management team represents an array of different backgrounds and brings their unique perspectives, ideas, and experiences, helping to create a work community that is culture-driven, resilient, results-focused, and effective. Responsibilities include (but are not limited to) the following: Adhering to guidelines for conducting the assessment of submitted Annual Client Reviews and consistently applying these guidelines during review assessments. Analyzing data of IAP variances/risk items for presentation and discussion with Market Supervision Managers and Financial Advisors to overall reduce outstanding variances. Communicating effectively with Advisors and Office Management Teams regarding trends and patterns on submitted IAP Annual Client Reviews, including the need to provide updates to respond to Supervisory inquiries. Maintaining documentation regarding interactions with Financial Advisors/OMT regarding Supervisory Inquiries and other focuses of IAP Supervision. Conducting ongoing meetings with Market Supervision Managers to review the status of IAP Annual Client Review submissions and IAP Variances within their markets, alert them to any potential issues or problematic situations and provide ongoing support. Assist with ongoing project calls and provide relevant and timely feedback related to the Annual Client Review and Investment Advisory Program Supervisory processes. Qualifications: 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). Qualified candidates with a minimum of Series 7 & 66 must be willing to obtain Series 9/10 within a specified timeframe. 5 years prior business experience in the securities industry, with solid working knowledge of the industry, various security types, and investment advisory programs. Excellent knowledge of Microsoft Office with a particular emphasis on Microsoft Excel. Must have proficiency in working with large data sets, formula writing, pivot tables. Excellent and proven analytical ability with thorough attention to detail. Superior interpersonal skills, as well as excellent verbal and written communication skills in order to interface and build strong relationships with Financial Advisors and all levels of the branch office management teams, various home office contacts, and business partners. Self-starter, strong work ethic with ability to operate autonomously to meet or exceed business deadlines. Ability to multitask and take ownership of additional responsibilities while effectively managing daily tasks. Ability to thrive in and adapt to a dynamic work environment with regulatory changes and revisions to Program policies and guidelines. Willingness to travel on a limited basis (as permitted) and conduct MLWM and Merrill Private Wealth Market visits. Skills: • Risk Management • Relationship Building • Attention to Detail • Prioritization • Problem Solving • Interpret Relevant Laws, Rules, and Regulations • Decision Making • Written Communications • Business Process Analysis • Adaptability • Collaboration • Oral Communications

Minimum Education Requirement: High School Diploma / GED / Secondary School or equivalent Shift: 1st shift (United States of America) Hours Per Week: 40

#J-18808-Ljbffr