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:

　　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-tradeRole may include additional complex product supervisory responsibilities in support of cross-training strategyIdentify 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 unitsCommunicate effectively (both written and oral) with a variety of audiences including internal staff, Supervision leadership, field management, Financial Advisors, and product groupsDemonstrate sound and consistent supervisory judgment based on thorough and systematic review of information availableKeeping up to date with company policies and industry regulations; ability to interpret and apply firm policies and procedures and incorporate into daily processesRoutinely interacts within a team environment to identify potential sales practice concerns, initiate escalations, and consult on problematic individuals or officesThis role may be relied upon to work on projects to evaluate and enhance supervision processes

　　Required 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 experienceProven 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 productsStrong work ethic and time management skillsStrong communication and analytical skillsDetail oriented, self-reliant, and intellectually curiousGood working knowledge of financial products and the financial planning processStrong drive to learn independently critical for success

　　Desired Skills

　　2 years of experience in a supervision roleExperience with insurance productsCFP, CRPC, or CFU designation

　　Shift:

　　1st shift (United States of America)

　　Hours Per Week:

　　40