Marketing Registered Principal

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.

Position Overview:

The Marketing Registered Principal will review marketing content for broker-dealer and investment advisor, including advertising and social media.

Must be comfortable working in digital spaces, working independently and in a team environment, possess good communication skills, and be familiar with FINRA and SEC rules and regulations.

This job is responsible for performing specific delegated supervisory functions to minimize financial, regulatory, and reputational risks. Key responsibilities include reviewing, decisioning, escalating, and resolving supervisory tasks on behalf of the branch office, as determined by policy, procedure, and regulatory requirements. Job expectations include working with Field Supervision leaders, Office Management Teams, Financial Advisors, Wealth Management Associates, Product Managers, and Control Partners to support the bank's responsible growth strategy.

Responsibilities:

• Ensures compliance with policies, procedures, and regulations and oversees processes within a supervision group to identify, monitor, and limit risk and financial exposure to the business.
• Partners and builds relationships with Field Supervision leaders, Office Management Teams, Financial Advisors, Wealth Management Associates, Product Managers, and Control Partners to resolve inquiries effectively and promptly.
• Reviews and decisions alerts and tasks within a system of record application, while leveraging sound and consistent supervisory judgment.
• Identifies and appropriately escalates emerging risks and trends that may not be readily recognized via existing routines, informed by established criteria, risk factors, and metrics.
• Manages and prioritizes multiple tasks and maintains quality and timeliness of work deliverables and timelines.

Required Qualifications:

Previous industry experience reviewing marketing and social media content for broker-dealer and/or investment adviser. Exposure to FINRA and SEC rules and regulations.

Required FINRA License: Series 7, 24, 66 (66 could be replaced with 63/65 combo) (some equivalents could be substituted).

Skills:

• Microsoft Word
• Attention to Detail
• Prioritization
• Problem Solving
• Relationship Building
• Risk Management
• Decision Making
• Interpret Relevant Laws, Rules, and Regulations
• Written Communications
• Adaptability
• Business Process Analysis
• 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