JPMorgan JP Morgan Wealth Management - Vice President 

United States, Colorado, Denver 

92602982

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