As a Wealth Management Executive Office Investigator Analyst I in J.P. Morgan Wealth Management, you will be responsible for researching and resolving non-sales client complaints. Your role will also involve communicating resolutions to clients and escalating matters when necessary.
Job responsibilities:
- Research and resolve client complaints, including review of complaint correspondence and documents, account records, and recorded customer interactions and interviews of clients, registered representatives, or other Firm employees
- Communicate resolutions to customers verbally or via written response
- Ensure that potential complaint-related FINRA filings are submitted to the Firm's Registration department for review
- Assist the Firm's Legal Department as needed with pending arbitration and/or litigation involving customer complaints
- Identify and escalate operational or sales conduct-related concerns
- Cross-train on Wealth Management Executive Office intake function and assist with intake of client complaints as needed
Required qualifications, capabilities, and skills:
- Bachelor's Degree
- 3 plus years of securities industry experience
- Strong phone and verbal communication skills
- Advanced writing ability
- Complaint handling experience helpful
- Knowledge of FINRA rules
Preferred qualifications, capabilities, and skills:
- Series 7 and 66 licenses strongly preferred
- Series 9/10, 24, 53, 4, and Life and Disability licenses desirable
- Experience communicating with customers over the phone strongly preferred