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J.P. Morgan Wealth Management - Vice President Central Supervisory Manager - Chicago, IL
J.P. Morgan Wealth Management - Vice President Central Supervisory Manager - Chicago, ILJPMorgan Chase • Tempe, AZ, US
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J.P. Morgan Wealth Management - Vice President Central Supervisory Manager - Chicago, IL

J.P. Morgan Wealth Management - Vice President Central Supervisory Manager - Chicago, IL

JPMorgan Chase • Tempe, AZ, US
[job_card.30_days_ago]
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  • [job_card.full_time]
[job_card.job_description]

Supervisory Manager

J.P. Morgan Wealth Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals while utilizing the latest technology and resources of the entire firm. Our Wealth Management teams develop deep, personal relationships with clients to provide goals-based financial planning advice and to deliver sophisticated products and solutions to meet their generational wealth management needs.

As a Supervisory Manager in J.P.Morgan Wealth Management, you will exhibit leadership and operational expertise when performing an appropriateness review on an exception basis of transactions placed in client accounts. You will be responsible for managing complex, high risk escalations from end-to-end and outreach to executive level stakeholders.

Job Responsibilities

  • Conduct suitability reviews associated with a variety of Brokerage (i.e. stocks, bonds, options, mutual funds, etc.) as well as Managed Account transactions.
  • Escalate supervisory issues as necessary, providing relevant recommendations as to appropriate actions to be taken.
  • Strategically partner with Supervisory Managers or registered personnel in the field to resolve exceptions.
  • Undertake project work and additional tasks as assigned by Central Supervision Management.
  • Influence process improvements and help promote change.
  • Influence, clearly articulating and aligning stakeholders to final resolution.

Required Qualifications, Capabilities, and Skills

  • 7+ years of experience in the securities / investment industry.
  • Minimum licensing requirement : FINRA Series 7 and one or more of the following licenses : FINRA Series 66 (63 / 65), 9 / 10 (4,24,53). Additional licensing requirements must be met within 120 days of hire.
  • Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
  • Ability to provide clear, concise, and timely resolution to issues.
  • Demonstrate strong critical thinking, analytical research, and quantitative skills.
  • Strong written and verbal communications skills, including an ability to communicate with all levels of management.
  • Possess excellent time management skills.
  • Proven judgment and problem-resolution skills.
  • Ability to understand new investment products, Advisor / Banker compensation plans, firm wide policies, and procedures to conduct reviews.
  • Ability to build relationships across business functions to obtain necessary information to conduct reviews.

    • Preferred Qualifications, Capabilities, and Skills

  • Bachelors Degree preferred
  • Experience as a Supervisory or Compliance professional preferred
  • Possess an advanced knowledge of FINRA, MSRB and SEC rules and regulations
  • Experience working in an environment alongside Advisors preferred
  • State Life & Health Insurance license a plus, but not required

    • Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, N.A. are affiliated companies under the common control of JPMorgan Chase & Co. Products not available in all states.

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