Scott Kokie
Market Supervision Manager
- Role
- Market Supervision Manager, Director at Merrill Lynch
- Location
- Miami, FL, US
- LinkedIn followers
- 500 followers
About Scott Kokie
With over 30 years of experience in financial services, I am a proven risk executive with…
Experience
Market Supervision Manager, Director
May 2012 — Present
Served as National Project Executive Sponsor and Co-Chair of the Office Management Team Advisory Council to Senior Management, collaborating with senior leadership to drive innovation and operational excellence.• Oversaw risk management within the Market while maintaining superior client service and high employee morale thus limiting Advisor attrition.• Conducted strategic program reviews with Financial Advisors (FAs) and teams to enhance sales and mitigate risks.• Coached Mid-Atlantic Market Supervision Managers (MSMs), improving the risk profile of the division.• Achieved a 6.9% improvement in discretionary expense management for 2024 through enhanced oversight and approval processes, including a 50% reduction in UPS-related expenses.• Facilitated monthly risk-focused conference calls with senior management and banking partners to identify emerging risk issues.
Skills
- Financial Services
- Series 7
- Trading
- Financial Risk
- Asset Management
- Alternative Investments
- Portfolio Management
- Series 24
- Asset Managment
- Series 3
- Aml
- Options
- Asset Allocation
- Risk Management
- Commodities
- Wealth Management
- Compliance
- Finra
- Securities
- Equities
- Investment Advisory
- Series 66
- Uniform Combined State Law
- Fixed Income
- Credit Risk
- Risk
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