JPMorgan JP Morgan Wealth Management - Vice President 

United States, Illinois, Chicago 

46735992

As a Vice President Sales Practice Manager within J.P. Morgan Wealth Management, you will have the opportunity to identify and review potential sales practice issues. You will manage complex, high-risk escalations and communicate with senior level stakeholders. This role provides a unique opportunity to contribute to our team's success while developing your skills in sales practice management.

Job Responsibilities

• Plan and participate on complex reviews with limited supervision and guidance, including a determination of the books, records and documents requiring examination.
• Demonstrates ability to initiate and complete high quality reviews, including ability to work quickly on multiple time-sensitive matters.
• Organize and prepare the monthly proactive reporting for the sales practice review team.
• Collect, organize, and analyze information from a variety of sources to be used in the development of reviews of potential sales practice issues, including broker-dealer documents, trading, and financial information.
• Present findings (orally and/or in writing) to management and other potential constituents in an organized, concise, and timely fashion.
• Proactively identify patterns and trends in reviews that may have impact to more than one customer, more than one advisor, a region and/or national impact.
• Overall work is subject to review and correction by the Supervisory Sales Practice Review Team Manager, Director and/or the Head of Sales Practices.

Preferred Qualifications, Capabilities, and Skills

• Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
• Demonstrates a high level of critical thinking, analytical research, and quantitative skills.
• Strong written and verbal communications skills, including an ability to gather evidence through the use of telephone and in-person interviews.
• Strong organizational and time-management skills with exceptional attention to detail.
• Strong oral and written communication skills.
• Possess strong computer skills (e.g., Access, Excel, Word, and PowerPoint).
• Deep understanding and experience of advisory services and a multitude of products and complex client accounts.

Required Qualifications, Capabilities, and Skills

• 7+ years in the securities and investment industry
• Active and valid FINRA Series 7 required to be considered for the role.
• FINRA Series 66 (63,65), 9/10 (4,24,53) 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.)
• Bachelor’s Degree: however, 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.