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 :
1st shift (United States of America)
Hours Per Week :
Coastal Clients in Need of Caregivers
Follow client care plan and provide updates as needed. Care To Stay Home was voted Fortune Magazine’s 2019 and 2020 #1 “Great Places To Work in Aging Services”!. Personal care, transferring, ambulation, meal preparation, companionship, medication reminders and light house...
Physician Network Development Specialist 3- Business & Network Development- FT Day Shift
Experience and knowledge of health care industry trends, with knowledge of medical center or health system product lines and services. As part of this commitment, all applicants who accept an offer of employment must comply with the following conditions of employment:. News & World Report for 23 con...
Would you like to be part of the dynamic management team of a service industry leader? As a results oriented General Manager, you will head up one of our many profit centers, and be responsible for sales, customer service, and production functions within the facility. Your Bachelor’s Degree, 5-10 years of diversified management experience, record of profit contribution, leadership experience, and willingness to relocate will serve as a good foundation for your success. We will provide up to 12 months of intensive training before your General Manager assignment, and offer continuous support and education to help you achieve your goals.
Would you like to be part of the dynamic management team of a service industry leader? As a results oriented General Manager, you will head up one of our many profit centers, and be responsible for sales, customer service, and production functions within the facility. Your Bachelor’s Degree, 5-10 ye...
Ambulatory Care Patient Mgr 1 - Infusion Center - FT Days
Incumbent is responsible for all management functions related to the delivery of patient care, as well as the quality of nursing practice and the standards of care for all Infusion Centers within the medical center. As part of this commitment, all applicants who accept an offer of employment must co...
Diabetes Care & Education Specialist Iv - Certified - Diabetes Center
The Diabetes Care & Education Specialist utilizes Medical Nutrition Therapy (MNT) guidelines, regulatory standards, and evidence-based medicine to assesses and documents patient's nutritional needs based on pre-collected screening risk data by the patient’s physician, inpatient RN Diabetes Educa...
J.P. Morgan Wealth Management – Private Client Advisor - South Orange County, CA
As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive financial planning and advice to individuals and families. Morgan Chase, we have an enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer ser...
Coordinator of El Centro Académico Cultural De Humboldt (Latinx Center for Academic Excellence)-SSP II
Supervised by the Director of the Cultural Centers for Academic Excellence, the Coordinator of El Centro Académico Cultural De Humboldt (Latinx Center for Academic Excellence)-SSP II, is responsible for promoting an inclusive culture of student success while providing inspiration, role modeling, cen...
J.P. Morgan Wealth Management – Private Client Advisor - Central Orange County, CA
As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive financial planning and advice to individuals and families. Morgan Chase, we have an enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer ser...
The Commercial & Treasury Management Client Support Specialist
Coordinates with assigned approvers to facilitate rapid decisions on behalf of clients for file limit increases for Products, while also maintain established risk management controls. Supports the integration of technological solutions into customers’ business operations by understanding needs, trai...
Specialist, Business Consulting - E&S Project Pricing - Remote
We have an array of benefits to fit your needs, including: medical/dental/vision, life insurance, short and long term disability coverage, paid time off with newly hired associates receiving a minimum of 18 days paid time off each full calendar year pro-rated quarterly based on hire date, nine paid ...