Job Description:

The Business Oversight Specialist role is part of the Merrill Lynch Wealth Management team and will focus on assisting in the resolution of Merrill broker-dealer customer-related inquires and complaints. The ideal candidate for this role should be able to operate in a fast-paced work environment and with the ability to multitask. Attention to details and accuracy are essential to be successful in this position. The candidate will also be able to build relationships and work collaboratively across the organization, including with senior leaders.

Key Responsibilities:

• Assist in the research, resolution and settlement of Merrill broker-dealer complaints which may involve consultation and coordination with the Legal Department, Operations, Finance, the Line of Business Supervisors & Registered Representatives, Insurance Carriers and Executive Management as well as clients, attorneys, and regulators.
• Path for escalation for broker-dealer complaints sent to executive leaders.
• Learn and effectively communicate about a wide variety of products and services.
• Responsible for the management and validation of complaint records, files, documents, and data.
• Ensure regulatory filings (U4/U5 and 4530) associated with Complaint management are made quickly and accurately.
• Develop and manage relationships across the Enterprise and with a wide variety of partners based on trust, teamwork, and knowledge.
• Perform additional functions to support the priorities aligned to risk mitigation.

Required Skills:

• 5+ years of retail brokerage, compliance, legal and/or supervisory experience within a brokerage branch office or financial space.
• Strong Wealth Management Product knowledge including Life Insurance and Alternative Investments and Annuities
• Familiarity with handling brokerage customer complaints and the regulatory reporting required in the same.
• Shows commitment to excellent attendance with proven reliability and can adhere to the agreed upon work schedule
• Strong analytical ability and organizational skills with ability to demonstrate sound judgment and act with speed.
• Highly organized, detail oriented and self-motivated with ability to investigate and resolve complex problems.
• Ability to prioritize issues and handle confidential matters and sensitive information in a responsible manner and timely fashion
• Strong communications skills, great grammar, and the ability to communicate with management, peers, and client
• Ability to learn and adapt to new information and technology platforms
• Minimum of an intermediate level of proficiency with computers and current technology including MS Office Suite
• FINRA series 7, 66, 9/10/24, Insurance License, JD or equivalents a plus

What would you like the power to do?                                                       

Shift:

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