Bank Of America Corporation Charlotte , NC 28201
Merrill Lynch Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions. Merrill Lynch 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 Lynch'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 Lynch coupled with the banking convenience of Bank of America.
Only those associates with NASD Supervisory licenses are to be mapped to this job code.
Manages diverse administrative functions usually for a very large, complex department or business unit. Functions managed may include: financial control / budgeting and consolidation, personnel processes, audit / compliance, premises, and coordination of certain projects, associate training, service quality, process improvement, business continuity, or communication. May consult with senior management to define and manage projects that encompass and impact many associates.
Requires a thorough knowledge of the department or business unit's functional area or products. Working knowledge of general bank policies, programs and procedures and financial / accounting practices. Has full management responsibility over a team and may manage one level of managers.
Experience and working knowledge with FINRA regulations valuable.
Previous experience as either a Registered Principal or a Compliance advertising reviewer within a broker-dealer or investment advisory environment is required.
Experience with reviewing communications with the public, including annuities, mutual funds, options, closed end funds, ETF's, alternative investments and municipal products
Experience with review of social media content helpful: (Twitter, You Tube, Native Advertising & LinkedIn).
Institutional Retirement products, plan participant materials such as 401(k)s, defined benefit plans, equity stock option plans is preferred.
Registrations: FINRA Series 7, 24 and 66
Prefer fully licensed candidates (candidates having all Series 7, 24, 63/65 or 66, 4); however, for FINRA Series 63/65 or 66, Series 4 (options) registrations, candidate must be willing to obtain within a 90-day timeframe (failure to do so could result in termination)
Locations Preferred: Hopewell, NJ, NY, NY, Jersey City, Charlotte, NC, Jacksonville, FL
Other locations considered if near a Bank of America or Merrill Lynch office.
Posting Date: 04/27/2018
Location: Jacksonville, FL, JACKSONVILLE 2, 4802 DEER LAKE DR E, Chicago, IL, 540 W MADISON ST (IL4540), Boston, MA, 100 FEDERAL ST (MA5100), Jersey City, NJ, 15 EXCHANGE PL (NJ2015), Pennington, NJ, HOPEWELL BLDG. 6, 1600 AMERICAN BLVD, New York, NY, BANK OF AMERICA TOWER, ONE BRYANT PARK, Charlotte, NC, BANK OF AMERICA PLAZA, 101 S TRYON ST, Lincoln, RI, 670 GEORGE WASHINGTON HWY (RI1541), - United States
Travel: Yes, 10% of the time
Full / Part-time: Full time
Hours Per Week: 40
Shift: 1st shift