JPMorgan Wealth Management - Vice President - Supervisory Manager - San Francisco CA
JPMorgan Wealth Management - Vice President - Supervisory Manager - San Francisco CA
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$ 114000 - 180000
1 Vacancy
Job Description
At J.P. Morgan Advisors we have been helping highnetworth individuals and families build and manage their wealth for more than 50 years. Led by an exclusive group of Investment Professionals throughout the United States J.P. Morgan Advisors offers clients a broad suite of transactional wealth management and investment advisory services.Our Investment Professionalsamong the most experienced and creative in the industryexcel at leveraging the vast resources of one of the worlds leading global financial institutions on behalf of our clients.
As a Supervisory Manager in J.P. Morgan Advisors 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 endtoend and outreach to executive level stakeholders.
Job responsibilities
- Monitor investment activities of registered and nonregistered employees of J.P. Morgan Advisors
- Review middle markets institutional and retail customer account activity sales practices suitability documents marketing material and customers statements to ensure compliance with various regulatory and legal requirements
- Monitor the trading practices of Advisors with respect to regulatory requirements and internal policy
- Assist in the on/off boarding of J.P. Morgan Advisors staff
- Review client inquiries issues and complaints and complete a thorough investigation and provide resolution. This involves Compliance Legal Portfolio Management Risk Management & Control along with Senior Management in the process of reaching an appropriate resolution
- Serve as point of contact for resolution of any questions or issues that may occur during the course of a business day from the various oversight groups. Be able to provide clear concise and timely resolution to these issues as they arise
- Provide policy and procedural training to new employees assist with continuing education requirements and provide special training as warranted on specific topics. Assist Compliance in the dissemination of information relating to changes in policy and regulatory rules. Discuss Compliance and new product lines with sales personnel
- Act as the main point contact for internal examinations conducted by Compliance and Internal Audit. This includes representing management in demonstrating adherence to internal policies and procedures as well as maintaining and providing all necessary documentation in accordance with internal examiners requests
- Resolve order errors including identifying circumstances taking market action when necessary to resolve the error and completing the error reporting and then assigning responsibilities for the errors as necessary
- Review client accounts as outlined by procedures; follow up on issues or make client contact as warranted and in accordance with supervisory guidelines and maintain these records of the review process
- Confirm that written consent of the Office of the Secretary is obtained before employees engage in outside speaking engagements; approve lectures or interviews prior to activity and maintain a log of the activity. Approve personal securities transactions for regional employees as required by firm policy and review and resolve personal trading policy violations with Compliance and Regional Director as required
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/appropriate State Life & Health Insurance license
- A valid and active Series 4 and appropriate State Insurance licenses are required or must be obtained within 90 days of starting in the role as a condition of employment
- 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 problemresolution skills
- Ability to understand new investment products Advisor 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
- Bachelors 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
Required Experience:
Chief
Employment Type
Full-Time
