JPMorgan JP Morgan Wealth Management - Central Supervisory 

United States, Arizona, Tempe 

38089725

As a Central Supervisory Manager, you will play a crucial role in ensuring our trading operations comply with FINRA rules and industry regulations. You will be responsible for reviewing trades, evaluating flagged reviews, and assessing the suitability of new accounts and products. Your work will contribute to our firm's commitment to regulatory excellence and client trust.

Key Responsibilities:

• Review next-day trades to ensure compliance with FINRA rules and industry regulations.
• Evaluate and document trades flagged as exceptions for suitability.
• Assess the suitability of select new accounts and products.
• Escalate supervisory issues with actionable recommendations for resolution.
• Collaborate with Field Supervisory Managers to resolve exceptions promptly.
• Conduct training for newly hired Central Supervisory Associates.
• Identify process improvements and drive change initiatives.
• Participate in project work and additional tasks as assigned.

Required Qualifications, Capabilities, and Skills:

• Ability to work independently and make sound, risk-based decisions.
• Excellent research, analytical, and problem-solving skills.
• Strong interpersonal, verbal, and written communication skills.
• Effective organizational skills and attention to detail.
• Proven ability to work in a dynamic, evolving team environment.
• Effective time management skills to meet service level agreements and project deadlines.
• 7 years of relevant experience in the financial securities/investment industry.
• 5 years of experience in a Supervision, Compliance, Surveillance, Operations, or Control capacity.
• FINRA Series 7, 66 (63/65), 9/10 (or 4, 24, 53), and appropriate State Life & Health Insurance License.

Preferred Qualifications, Capabilities, and Skills:

• Bachelor’s Degree (B.A./B.S.) preferred.