At J.P Morgan Chase, we have and enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity and inclusion.
As the Sr Sales Practice Associate you will be responsible for identifying and reviewing potential sales practice issues. Responsible for addressing escalated cases with the field and interfacing with senior leaders for resolution. Responsible for handling escalations and outreach to the field and senior level stakeholders. Responsible for completing monthly account reviews by evaluating and documenting results of risk-based alerts.
Job Responsibilities
- Plan and participate on complex reviews with limited supervision and guidance, including a determination of the books, records and documents requiring examination.
- Ability to initiate and complete high quality reviews, including an ability to work quickly on multiple time-sensitive matters.
- Conduct planned reviews by way of interviews with the business, conduct reviews of books, records, documents; and performing data analysis.
- Collect, organize, and analyze information from a variety of sources to be used in the development of reviews of potential sales practice issues, including broker-dealer documents, trading, and financial information.
- Conduct interviews with parties relevant to the review, where necessary.
- Complete reviews by consolidating the various factual details of a sales practice review into a final report.
- Present findings (orally and/or in writing) to management and other potential constituents in an organized, concise, and timely fashion.
- Proactively identify patterns and trends in reviews that may have impact to more than one customer, more than one advisor, a region and/or national impact.
- Complete account reviews for the purposes of monitoring for ongoing suitability of the investments and activity in a client's account.
- Provide support in firm disciplinary proceedings.
- Use computer resources and software applications for data and information analysis pursuant to department procedures.
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Required qualifications capabilities and skills
- Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
- Knowledge of FINRA, MSRB and SEC rules and regulations
- Demonstrates good critical thinking, analytical research, and quantitative skills.
- Good written and verbal communications skills, including an ability to gather evidence through the use of telephone and in-person interviews.
- Good organizational skills with exceptional attention to detail.
- Possess good computer skills (e.g., Access, Excel, Word, and PowerPoint).
- Active and valid FINRA Series 7 and one or more of the following licenses are required to be considered for the role: FINRA Series 66 (63,65), 9/10 (4,24,53). FINRA Series 7, 66 (63,65), 9/10 (4,24,53), licenses are required to perform all job duties associated with the role. If any of the licenses not already held, they must be obtained within 120 days of starting in the role as a condition of employment.
- 4+ years of experience in the securities investment industry
Preferred qualifications capabilities and skills
- Experience conducting broker/dealer sales practice reviews strongly preferred.
- Bachelor's Degree preferred
ABOUT US
Chase is a leading financial services firm, helping nearly half of America's households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
Equal Opportunity Employer/Disability/Veterans
ABOUT THE TEAM
Our Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing. We're proud to lead the U.S. in credit card sales and deposit growth and have the most-used digital solutions - all while ranking first in customer satisfaction.
We are here to help you manage your money with checking, savings and credit cards, combining the latest banking technology with comprehensive solutions to meet the financial needs of nearly half of U.S. households.