19 days old

Merrill Lynch ADV Regulatory Specialist

Pennington, NJ 08534
**Job Description:**

**Job Description:**

Lead the Form ADV Part 2A annual amendments and associated Annual 3a-4/ML SOMC mailing process, this includes managing the review and approval process for all (16) Firm investment advisory programs ADV2As and client contracts

Manage daily/weekly routines for 2B supplements, disciplinary events aged 10 years and older, and applicable role change in a timely manner

Prepare required documentation of aged disciplinary event to present to ADVRC for decision and implement appropriate steps related to decision.

Responsible for business risk management for the Firm's Advisory Program. Includes analysis of supervision analytics, trends and patterns, risk reporting and reviews to provide Leadership with "state of supervision" report-outs. Support's implementation of core supervision initiatives through implementation of the Advisory programs policies within the following operating principles:

- Provide full transparency into the development of core supervision initiatives, and

- successful delivery of a shared goals and initiatives, to strengthen the MSG supervision framework and mitigate risk.

**Required Skills:**

+ Candidate should be an experienced professional with a minimum of 3 to 5 years experience in the securities industry or other financial services industry

+ Detail oriented with excellent follow-up skills

+ Demonstrated ability to manage and complete complex initiatives

+ Ability to work independently

+ Experience with effectively dealing with business, technology, legal, and compliance professionals, including Senior Leadership

+ Develop strong working relationships across various departments and divisions within Global Wealth Management

+ Highly proficient in MSG Office

**Desired Skills:**

+ Risk or compliance background is preferred, but not required

+ Advanced Excel is a plus

+ Knowledge of regulatory filing requirements for Fiduciary programs

**Posting Date** : 07/26/2018

**Location** :


- United States

**Travel** : Yes, 5% of the time

**Full / Part-time** : Full time

**Hours Per Week** : 40

**Shift** : 1st shift

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Merrill Lynch ADV Regulatory Specialist

Bank of America
Pennington, NJ 08534

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