J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions with client assets of $4 trillion. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.

 

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 senior leadership to address complex issues and provide strategic solutions. Your role is crucial in maintaining the integrity and success of our wealth management services.

 

Job Responsibilities:

Recognize and address issues, risks, and exposures.Engage senior leadership to implement solutions.Coach business partners to adapt to regulatory changes.Interface with leadership teams across lines of business.Develop expertise in securities rules and regulations.Implement account reviews for investment suitability.Conduct Advisor book reviews to identify trends.Escalate potential issues to appropriate parties.Present reports to senior management.Collaborate with Sales Practice Review team.Resolve questions and issues from oversight groups.

Required Qualifications, Capabilities, and Skills:

7 years of experience in the securities/investment industry.Bachelor's Degree.Experience in supervisory or compliance roles.Knowledge of FINRA, MSRB, and SEC rules.Strong critical thinking and analytical skills.Excellent written and verbal communication skills.Strong organizational and time management skills.Proven judgment and problem-resolution skills.Familiarity with office software applications.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.Ability to build relationships across business functions.Understanding of new investment products.Experience in conducting reviews.Ability to communicate with all levels of management.Exceptional attention to detail.