JPMorgan JP Morgan Wealth Management - Vice President 

United States, Arizona, Tempe 

789489189

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

• 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.
• 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.

Preferred qualifications, capabilities, and skills

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