JPMorgan JP Morgan Wealth Management - Vice President 

United States, Texas, Plano 

620896950

The Supervisory Manager is integral to managing regulatory obligations, operational risk, and supervisory requirements within J.P. Morgan Wealth Management. Our firm provides comprehensive strategies and expertise across asset classes through a global network of investment professionals, utilizing cutting-edge technology and resources. We focus on building deep, personal relationships with clients to offer goals-based financial planning and sophisticated solutions for generational wealth management.

Job responsibilities

• Conduct suitability reviews for Annuity and Insurance products, including Variable, Fixed and Index Annuities, Whole Life, VUL, and Term Insurance.
• Escalate supervisory issues with recommendations for appropriate actions.
• Collaborate strategically with Supervisory Managers or registered personnel to resolve exceptions.
• Engage in project work and additional tasks as assigned by Central Supervision Management.
• Identify and drive process improvements.
• Influence and align stakeholders to achieve final resolutions.

Required qualifications, capabilities, and skills

• A minimum of 7 years of experience in the securities/investment industry.
• Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). Additional licensing requirements must be met within 120 days of hire.
• Strong knowledge of securities rules, regulations, guidelines, products, and industry practices.
• Ability to independently make suitability decisions based on firm policy.
• Strong critical thinking, analytical research, and quantitative skills.
• Excellent written and verbal communication skills, with the ability to engage all management levels.
• Proven time management, judgment, and problem-resolution skills.
• Ability to understand new investment products, compensation plans, and firm policies for conducting reviews.
• Capability to build relationships across business functions for necessary information gathering.

Preferred qualifications, capabilities, and skills

• Bachelor’s Degree.
• Experience as a Supervisory or Compliance professional.
• Advanced knowledge of FINRA, MSRB, and SEC rules and regulations.
• Experience working alongside Advisors.

INVESTMENT AND INSURANCE PRODUCTS ARE:

• NOT FDIC INSURED • NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY • NOT A DEPOSIT OR OTHER OBLIGATION OF, OR GUARANTEED BY, JPMORGAN CHASE BANK, N.A. OR ANY OF ITS AFFILIATES • SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED