JPMorgan JP Morgan Wealth Management - Central Supervisory 

United States, Illinois, Chicago 

966039308

As the Supervisory Manager in the Brokerage team you will exhibit leadership and operational expertise when executing designated supervisory duties and is directly responsible for performing appropriate reviews on an exception basis of transactions placed in client accounts and/or annuity and life insurance applications submitted by Financial Advisors. Responsible for managing complex, high risk escalations from end-to-end and outreach to the field and executive level stakeholders.

Job Responsibilities

• Conduct suitability reviews associated with a variety of Brokerage (i.e., stocks, bonds, options, mutual funds, etc.) as well as Managed Account transactions
• 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
• Project work and additional tasks as assigned by Central Supervision Management
• Responsible for reviewing certain work items escalated internally by more Junior level employees
• 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

• 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 with independent suitability 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 also possessing strong organization skills & attention to detail
• Proven ability to work in a dynamic team environment that is consistently evolving
• Strong time management skills 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), appropriate State Life & Health Insurance license. FINRA Series 7, 66 (63,65), 9/10 (4,24,53), and appropriate State Life & Health Insurance license 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 of experience in the securities and investment industry

Preferred qualifications

Bachelor’s Degree preferred