JPMorgan JP Morgan Wealth Management - Vice President 

United States, Texas, Plano 

564206962

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.

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