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.
The Supervisory Manager is integral to managing regulatory obligations, operational risk, and supervisory requirements within J.P. Morgan Wealth Management. Our firm provides comprehensive strategies and expertise across asset classes through a global network of investment professionals, utilizing cutting-edge technology and resources. We focus on building deep, personal relationships with clients to offer goals-based financial planning and sophisticated solutions for generational wealth management.
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Job responsibilities
- Conduct suitability reviews for Annuity and Insurance products, including Variable, Fixed and Index Annuities, Whole Life, VUL, and Term Insurance.
- Escalate supervisory issues with recommendations for appropriate actions.
- Collaborate strategically with Supervisory Managers or registered personnel to resolve exceptions.
- Engage in project work and additional tasks as assigned by Central Supervision Management.
- Identify and drive process improvements.
- Influence and align stakeholders to achieve final resolutions.
Required qualifications, capabilities, and skills
- A minimum of 7 years of experience in the securities/investment industry.
- Must hold 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.
- Strong knowledge of securities rules, regulations, guidelines, products, and industry practices.
- Ability to independently make suitability decisions based on firm policy.
- Strong critical thinking, analytical research, and quantitative skills.
- Excellent written and verbal communication skills, with the ability to engage all management levels.
- Proven time management, judgment, and problem-resolution skills.
- Ability to understand new investment products, compensation plans, and firm policies for conducting reviews.
- Capability to build relationships across business functions for necessary information gathering.
Preferred qualifications, capabilities, and skills
- Bachelor's Degree.
- Experience as a Supervisory or Compliance professional.
- Advanced knowledge of FINRA, MSRB, and SEC rules and regulations.
- Experience working alongside Advisors.
INVESTMENT AND INSURANCE PRODUCTS ARE:
• NOT FDIC INSURED • NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY • NOT A DEPOSIT OR OTHER OBLIGATION OF, OR GUARANTEED BY, JPMORGAN CHASE BANK, N.A. OR ANY OF ITS AFFILIATES • SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED
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.
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, paid in the form of cash and/or forfeitable equity, 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.