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JPMorgan JP Morgan Wealth Management - Vice President 
United States, Colorado, Denver 
92602982

21.09.2024

As a Supervisory Manager in Chase Wealth Management, 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 and analyze progress of active account and book reviews as well as monitor staff productivity
  • Recognize opportunities for addressing issues, risks and exposures. Engage line of business senior leadership to action identified issues
  • Ensure team’s complete understanding of their responsibilities in order to perform high quality work and able to adapt to the changing regulatory environment
  • Understand system logic used in conducting risk based reviews. Further develop and refine the rules based on prior findings
  • Review, draft or update desktop procedures as required. Effectively communicate changes to team members
  • Develop subject matter expertise of securities rules and regulations through knowledge, research and training
  • Develop and implement account reviews for the purposes of monitoring for ongoing suitability of the investments and activity in a client’s account
  • Conduct Advisor book reviews to identify any trends or patterns requiring further review that may have impact to more than one customer
  • Identify and escalate potential issues to the appropriate parties on matters requiring further action
  • Work with the Sales Practice Review team to escalate potential issues to the Disciplinary Action Forum
  • 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

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 / Banker 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