New Account Supervision Principal

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Job description

Job Description: New Account Supervision Principal (Supervision Principal II). Description. The role is intended to provide supervision of new account applications and ancillary documentation. Job Responsibilities include (but are not limited to) the following: Perform regulatory mandated supervision of new accounts submitted by Merrill Lynch Financial Advisors. Working closely with key business partners including the local Market Office Management Teams by establishing and maintaining positive working relationships to ensure business is conducted within guidelines set by the Firm and industry regulations. Communicating effectively (both written and oral) using clear, concise, and understandable language. Producing regular commentary on items of concern, ongoing issues and recurring patterns. Proactively anticipating and identifying concerns/issues as part of one's daily responsibilities. Demonstrating sound and consistent supervisory judgment based on thorough and systematic review of information available. Maintaining positive outlook, receptivity to constructive feedback, and flexibility to accommodate changing processes, policies, and regulations. Core Competencies: Successful incumbents will be expected to demonstrate the following core competencies: Shows dedication to getting the job done accurately and efficiently: Demonstrates accuracy and thoroughness in all areas of responsibility. Takes pride in his/her own work; demonstrates a sense of commitment to work and willingly assumes responsibility for accomplishing objectives; is dependable, conscientiously follows through on commitments, and is accountable for his/her results. Makes timely, risk-based decisions and acts decisively: Asks appropriate questions to understand all relevant aspects of an issue. Acts decisively despite ambiguity and complexity. Speaks and acts with confidence; appropriately shares his/her opinion. Stands up for what is right even when challenged. Seeks guidance when the right course of action is unclear. Adjusts to changing demands and requirements: Is comfortable working under time constraints. Is constantly seeking to learn and advance his/her knowledge. Remains current on technology advancements and implications for core responsibilities. Projects and maintains a positive attitude and professional demeanor despite obstacles and setbacks: Remains positive and focused during times of pressure or adversity. Demonstrates an optimistic and enthusiastic approach. Qualifications: Bachelor's Degree (or equivalent work experience). Must have Series 7 in order to be considered for the role. Series 8 or 9/10, 63 and 65 or 66 if not already licensed, must be obtained within an acceptable timeframe (will be specified at time of offer). Strong communication and analytical skills. Detail oriented and excellent organizational skills. Ability to work independently. Branch office and New Accounts experience or exposure would be helpful. Working knowledge of regulatory policies and specifically ML policies/procedures would be helpful. Shift: 1st shift (United States of America). Hours Per Week: 40