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 National Branch, you will exhibit leadership and operational expertise when performing designated supervisory duties to oversee a territory of Financial Advisors. You will be responsible for managing complex, high risk escalations from end-to-end and outreach to executive level stakeholders.
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Job responsibilities
- Monitor FINRA activities of Advisors in supported region
- Partner with Market Director to lead and develop supported region
- Lead and implement business and firm-wide initiatives (ex. Document Integrity, FINRA changes, etc)
- Oversee and manage outstanding licensing requirements in supported region
- Ensure timely and effective responses to Compliance, Supervision and Audit Examinations on a priority basis
- Address and resolve escalated supervisory issues
- Follow-up on any concerns that arise from pre-hire compliance checks
- Manage all trade corrections
- Assist in of the resolution of customer complaints
- Supervise the development and mentoring of staff at varying levels of expertise; assesses performance of staff; prepare and deliver performance evaluations; and participate in recruiting, interviewing, retaining and recommending pay actions for staff
- Review, draft or update desktop procedures as required. Effectively communicate changes to team members
Required qualifications, capabilities and skills
- 7+ years of experience in the securities / investment industry
- Licenses required to perform all job duties associated with the role: FINRA Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license
- Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license. 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 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
- Bachelor's 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
ABOUT US
JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, we offer discretionary incentive compensation which may be awarded in recognition of firm performance and 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.
JPMorgan Chase & Co. is an Equal Opportunity Employer, including 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.