- Daily, weekly and monthly reviews of transactions in certain complex products such as annuities, life insurance, mutual funds, and others as needed both pre-trade and post-trade
- Role may include additional complex product supervisory responsibilities in support of cross-training strategy
- Identify potentially suspicious patterns and business practices and take appropriate action to impact behavior, including escalation and follow-up as needed in collaboration with the OMT and internal business units
- Communicate effectively (both written and oral) with a variety of audiences including internal staff, Supervision leadership, field management, Financial Advisors, and product groups
- Demonstrate sound and consistent supervisory judgment based on thorough and systematic review of information available
- Keeping up to date with company policies and industry regulations; ability to interpret and apply firm policies and procedures and incorporate into daily processes
- Routinely interacts within a team environment to identify potential sales practice concerns, initiate escalations, and consult on problematic individuals or offices
- This role may be relied upon to work on projects to evaluate and enhance supervision processesRequired Skills
- Bachelor s Degree (or equivalent work experience)
- Series 7, and 8 or 9/10, and 63/65 or 66 required to be considered for the role (in lieu of the 8 or 9/10 the following combination: 4, 24 and 53).
- 3 years minimum of industry experience
- 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
- Strong work ethic and time management skills
- Strong communication and analytical skills
- Detail oriented, self-reliant, and intellectually curious
- Good working knowledge of financial products and the financial planning process
- Strong drive to learn independently critical for successDesired Skills
- 2 years of experience in a supervision role
- Experience with insurance products
- CFP, CRPC, or CFU designationShift:1st shift (United States of America)Hours Per Week: 40
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Annuities/Life Insurance Supervision Principal-IV - Dallas, United States - Bank of America
Description
Job Description:
Annuities/Life Insurance Supervision Principal IV
Job Description
Merrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions, 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 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 of Bank of America.
Central Supervision is part of the Merrill Wealth Management Supervision organization and performs specific delegated supervisory functions focused on meeting regulatory requirements and minimizing regulatory, financial and reputational risks. The team focus includes new accounts, trade and client reviews, Investment Advisory Program, electronic communications, specialized supervision, marketing, social media, and complex product supervision.
Supervisory Principals in this role are responsible for actively monitoring Financial Advisor activities involving complex products, to ensure compliance with firm policies and procedures and relevant laws, rules and regulations.
Job Responsibilities
Include, but are not limited to the following:
