JP Morgan Wealth Management - Vice President Supervisory Manager - Plano San Antonio TX and Columbus OH
JP Morgan Wealth Management - Vice President Supervisory Manager - Plano San Antonio TX and Columbus OH
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Job Description
J.P. Morgan Wealth 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 while utilizing the latest technology and resources of the entire firm. Our Wealth Management teams develop deep personal relationships with clients to provide goalsbased financial planning advice and to deliver sophisticated products and solutions to meet their generational wealth management needs.
The Supervisory Manager is integral to managing regulatory obligations operational risk and supervisory requirements within J.P. Morgan Wealth Management. Our firm provides comprehensive strategies and expertise across asset classes through a global network of investment professionals utilizing cuttingedge technology and resources. We focus on building deep personal relationships with clients to offer goalsbased financial planning and sophisticated solutions for generational wealth management.
Job responsibilities
- Conduct suitability reviews for Annuity and Insurance products including Variable Fixed and Index Annuities Whole Life VUL and Term Insurance.
- Escalate supervisory issues with recommendations for appropriate actions.
- Collaborate strategically with Supervisory Managers or registered personnel to resolve exceptions.
- Engage in project work and additional tasks as assigned by Central Supervision Management.
- Identify and drive process improvements.
- Influence and align stakeholders to achieve final resolutions.
Required qualifications capabilities and skills
- A minimum of 7 years of experience in the securities/investment industry.
- Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 63/65 9/. Additional licensing requirements must be met within 120 days of hire.
- Strong knowledge of securities rules regulations guidelines products and industry practices.
- Ability to independently make suitability decisions based on firm policy.
- Strong critical thinking analytical research and quantitative skills.
- Excellent written and verbal communication skills with the ability to engage all management levels.
- Proven time management judgment and problemresolution skills.
- Ability to understand new investment products compensation plans and firm policies for conducting reviews.
- Capability to build relationships across business functions for necessary information gathering.
Preferred qualifications capabilities and skills
- Bachelors Degree.
- Experience as a Supervisory or Compliance professional.
- Advanced knowledge of FINRA MSRB and SEC rules and regulations.
- Experience working alongside Advisors.
INVESTMENT AND INSURANCE PRODUCTS ARE:
NOT FDIC INSURED NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY NOT A DEPOSIT OR OTHER OBLIGATION OF OR GUARANTEED BY JPMORGAN CHASE BANK N.A. OR ANY OF ITS AFFILIATES SUBJECT TO INVESTMENT RISKS INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED
Investment products and services are offered through J.P. Morgan Securities LLC (JPMS) a registered brokerdealer and investment advisor member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency Inc. (CIA) a licensed insurance agency doing business as Chase Insurance Agency Services Inc. in Florida. JPMS CIA and JPMorgan Chase Bank N.A. are affiliated companies under the common control of JPMorgan Chase & Co. Products not available in all states.
Required Experience:
Chief
Employment Type
Full-Time
