Merrill Advisory Development Program Oversight Principal
Company: Disability Solutions
Location: Jacksonville
Posted on: April 20, 2024
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Job Description:
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
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.The Merrill
Advisory Development Program (ADP) Oversight Supervision Principal
IV role manages diverse administrative, operational, supervisory,
and regulatory oversight functions within a supervision group for
multiple business channels, and is responsible for a wide variety
of delegated processes or projects. The ADP program is
strategically focused on training and developing the next
generation of Advisors. Regulatory oversight includes an
expectation to have routine dialogue and collaborate with various
line of business partners and senior supervision leadership on
multiple processes or projects from development through to
completion. The primary objective of the role is to reduce risk to
the Firm, including all lines of business and employees, by
performing in-depth analysis aimed at assessing and identifying
potential risks that may hinder the reputation of effectiveness of
the Firm. Principals will articulate methodology, review
documentation, escalate and identify key areas of risk and make
recommendations for risk mitigation by effectively coordinating all
aspects of an assigned process or project. Requires supervisory
experience and thorough knowledge of Firm and regulatory
requirements including the variety of products and services
offered.The Supervision Principal IV will be responsible for
performing supervisory reviews, approvals, resolving escalations
with office management teams and ensuring appropriate visibility to
Advisor conduct matters with management teams. Key expectation to
execute sound supervisory judgment and intellectual curiosity in
disposition of matters, along with strong partnership,
collaboration and communication abilities. Responsibilities
include, but are not limited to:
Keywords: Disability Solutions, Jacksonville , Merrill Advisory Development Program Oversight Principal, Other , Jacksonville, Florida
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