Join J.P. Morgan Asset & Wealth Management, a global leader in investment management and private banking solutions, managing client assets worth $4 trillion. As a Supervisory Manager, you will be at the forefront of guiding our Financial Advisors, ensuring adherence to regulatory obligations and managing operational risk. This role offers a unique opportunity to collaborate with senior leadership, tackle complex issues, and devise strategic solutions. Be part of a dynamic team dedicated to maintaining the integrity and success of our wealth management services, empowering individuals, families, and foundations to achieve their financial aspirations. As a Supervisory Manager in Chase Wealth Management, you will lead and oversee a territory of Financial Advisors, ensuring compliance with regulatory obligations and managing operational risk. You will work closely with us to address complex issues and provide strategic solutions. Your role is crucial in maintaining the integrity and success of our wealth management services, offering you the opportunity to make a significant impact. You will be instrumental in fostering a culture of compliance and excellence, ensuring that our advisors are equipped to deliver exceptional service to our clients. **Job Responsibilities:** + Recognize and address issues, risks, and exposures within the line of business. + Engage senior leadership to implement effective solutions for complex challenges. + Coach business partners to adapt to evolving regulatory changes and requirements. + Interface with leadership teams across various lines of business to ensure alignment. + Develop and maintain expertise in securities rules and regulations to guide advisors. + Implement thorough account reviews to ensure investment suitability and compliance. + Conduct comprehensive Advisor book reviews to identify trends and areas for improvement. + Escalate potential issues to appropriate parties for timely resolution. + Present detailed reports and findings to senior management for strategic decision-making. + Collaborate with the Sales Practice Review team to ensure best practices are followed. + Resolve questions and issues from oversight groups with precision and clarity. **Required Qualifications, Capabilities, and Skills:** + 7 years of experience in the securities/investment industry, with a focus on compliance and supervision. + Bachelor's Degree in Finance, Business, or a related field. + Proven experience in supervisory or compliance roles within the financial sector. + In-depth knowledge of FINRA, MSRB, and SEC rules and regulations. + Strong critical thinking and analytical skills to assess and address complex issues. + Excellent written and verbal communication skills for effective interaction with stakeholders. + Strong organizational and time management skills to handle multiple priorities. + Proven judgment and problem-resolution skills to navigate challenging situations. + Familiarity with office software applications for efficient data management and reporting. + Must hold 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. **Preferred Qualifications, Capabilities, and Skills:** + Experience with Advisor/Banker compensation plans and incentive structures. + Ability to build and maintain relationships across diverse business functions. + Understanding of new investment products and their implications for clients. + Experience in conducting reviews and audits to ensure compliance and performance. + Ability to communicate effectively with all levels of management and stakeholders. + Exceptional attention to detail to ensure accuracy and compliance in all activities. Chase is a leading financial services firm, helping nearly half of America's households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs. We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process. We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation. Equal Opportunity Employer/Disability/Veterans **Base Pay/Salary** New York,NY $114,000.00 - $180,000.00 / year