JPMorgan JP Morgan Wealth Management - Vice President 

United States, Illinois, Chicago 

941298538

As the Supervisory Manager you will exhibit leadership and operational expertise when executing designated supervisory duties on behalf of the Broker-Dealer. Responsible for managing complex, high risk escalations from end-to-end and outreach to the field and executive level stakeholders.

Job Responsibilities

• Ensure effective resolution of e-communication and transaction-related inquiries
• Manage trade correction reviews and approvals
• Review and approve all incoming and outgoing correspondence across multiple lines of business
• Strategically partner with Field Management
• Lead and implement business and firm-wide initiatives
• Ensure day-to-day supervisory aspects of the business are functioning
• Ensure timely and effective responses to Compliance, Supervision and Audit Examinations
• Partner with Field Management in the supervision of registered personnel
• Project work and additional tasks as assigned by Central Supervision Management
• Escalate supervisory issues as necessary, providing relevant recommendations as to appropriate actions to be taken
• Strategically partner with Supervisory Managers or registered personnel in the field to resolve exceptions
• Responsible for additional tasks as assigned by Central Supervision Management
• Assume responsibility for reviewing specific work items that have been escalated internally by employees at various levels.
• Conduct training of newly hired team members
• Identify process improvements and help drive change
• Responsible for influencing, clearly articulating, and aligning stakeholders to final resolution.

Required qualifications capabilities and skills

• Has a deep understanding and experience of advisory services and a multitude of products and complex client accounts. Also possesses Working knowledge of the US financial regulation framework including applicable FINRA rules. Additionally, has a knowledge and understanding of risk management.
• Ability to work independently and make sound, risk-based decisions based on firm policy
• Demonstrates strong research, analytical and problem-solving skills that leads to the ability to analyze trends and patterns; identify and implements improvements or enhancements
• Ability to collaborate across multiple levels of supervision with strong interpersonal, verbal, & written communication skills while strong organization skills & attention to detail
• Proven ability to work in a dynamic team environment that is consistently evolving
• Strong time management skills in order to meet service level agreements and/or project deadlines
• Active and valid FINRA Series 7 and one or more of the following licenses are required to be considered for the role: FINRA Series 66 (63,65), 9/10 (4,24,53) FINRA Series 7, 66 (63,65), 9/10 (4,24,53), all 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.
• 7+ years in the securities and investment industry

Preferred qualifications, capabilities, and skills

• Retail brokerage and/or annuity experience strongly preferred
• Bachelor’s Degree preferred