Fiduciary Initiatives Manager

Profile

Fiduciary Initiatives Manager

The candidate will include analyzing and implementing regulatory changes, enabling platform enhancements, designing new product offerings, and managing other aspects of a fiduciary relationship. Analyze the potential impacts of regulatory changes to the fiduciary platforms and make the necessary changes to ensure compliance. Developing disclosures and client-approved materials relating to the IA programs supported by FPP. Providing bespoke strategic input to advisory program changes and projects. Assisting in responding to regulatory examinations and inquiries. Providing support to develop investment solutions that drive growth, while still managing risk. Working on projects that involve a new product or strategy alternatives for clients including ultra-high net worth customer offerings. Supporting and assisting other FPP business teams with other strategic initiatives from ideation through execution and implementation. Managing product collateral such as client enrollment documents, contracts, disclosure documents, and policy/procedure manuals. Addressing ad hoc requests and issues relating to Legal, Compliance, Risk, and Audit inquiries and partnering with Operations and Technology to address ad hoc issues from advisors and clients. Should have JD degree. Should have 4+ years of legal, compliance, or risk experience covering the wealth management industry, ideally with coverage of Investment Adviser’s Act issues and regulations, SEC disclosure requirements, and analysis of legal and compliance issues affecting the retail client customer segment; ability to present information and findings to senior executives, front-office teams and leadership, and LOB partners and communicate with them at their level of analytical/technical understanding. Should be able to analyze complex regulatory concepts and directly and creatively apply that analysis to Merrill’s fiduciary programs in a manner that aligns with Merrill’s risk framework and business objectives.

Company info

Bank of America Corporation
2555 Pennington Rd, Rt 31
Pennington
New Jersey
United States 08534
Website : http://www.bankofamerica.com