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 Supervisory Associate Annuity you will be responsible for performing an appropriateness review on an exception basis of transactions placed in client accounts and/or annuity and life insurance applications submitted by Financial Advisors. Responsible for handling escalations and outreach to the field and senior level stakeholders.
Job responsibilities
- Conduct suitability reviews associated with a variety of Annuity and Life Insurance products (e.g. Variable, Fixed and Index annuities)
- 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
- Project work as assigned by Central Supervision Management
- Responsible for reviewing certain work items escalated internally by 601 level employees
- Conduct training of newly hired team members
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Required qualifications, capabilities, and skills
- At least 4+ years of experience in the securities and investment industry
- Ability to make sound, risk-based decisions
- Ability to make independent suitability decisions based on firm policy
- Demonstrates good research, analytical and problem-solving skills
- Good interpersonal, verbal, & written communication skills
- Good organization skills & attention to detail
- Good computer/navigational skills (Microsoft Office)
- Proven ability to work in a dynamic team environment that is consistently evolving
- Good time management skills to meet service level agreements and/or project deadlines
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- Ability to manage a pipeline of work from assignment to completion
- Ability to meet or exceed business goals and objectives, while fostering a team atmosphere
- Knowledge and understanding of risk management
- Well versed in advisory services, financial products, and client accounts of increasing complexity
- A valid and active Series 7, 66 (63,65), 9/10 (4,24,53), and appropriate State Life & Health Insurance 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.
Preferred qualifications, capabilities, and skills
- Bachelor's Degree preferred
- Advanced knowledge of securities industry rules, regulations and guidelines and significant and equivalent experience in a directly related securities industry position may substitute for bachelor's degree
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, discretionary incentive compensation which may be 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.