J.P. Morgan Wealth Management - Vice President Supervisory Manager - Rochester And/OR Albany, New York
J.P. Morgan Wealth Management - Vice President Supervisory Manager - Rochester And/OR Albany, New York
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Job Description
Join JPMorgan Chase & Co. a global leader in financial services with assets of $2.6 trillion and be part of a team that makes a real difference every day. As a member of our Asset & Wealth Management division youll be at the forefront of global investment management providing innovative solutions in equities fixed income real estate hedge funds and more. With a commitment to customer service youll help shape the future for our clients and communities driving impactful solutions that enhance lives. Embrace the opportunity to build your career on a strong foundation and contribute to a dynamic and evolving industry where your efforts will be recognized and valued.
As a Chase Wealth Management Supervisory Manager in the CWM Field Supervisory team you will lead a team responsible for conducting thorough active account and Advisor book reviews. You will play a crucial role in ensuring high-quality work and adapting to the changing regulatory environment. Your efforts will help us identify trends and opportunities driving impactful solutions for our clients and business. You will interface with senior leadership develop subject matter expertise and contribute to the continuous improvement of our processes and systems.
Job Responsibilities:
- Monitor and analyze active account and book reviews to ensure compliance and optimize client investment strategies.
- Ensure team members understand their responsibilities and adapt to regulatory changes maintaining high-quality work standards.
- Identify and resolve issues risks and exposures collaborating with senior leadership to implement solutions and align strategies.
- Develop and refine rules based on prior findings to enhance system logic for risk-based reviews.
- Review draft and update desktop procedures effectively communicating changes to the team.
- Develop expertise in securities rules and regulations through research and training.
- Collaborate with the Sales Practice Review team to escalate potential issues to the Disciplinary Action Forum.
- Conduct Advisor book reviews to identify trends or patterns that may impact multiple customers.
- Identify and escalate potential issues to appropriate parties for further action.
- Create and present detailed reports to senior management providing insights and recommendations.
- Understand new investment products compensation plans and firm-wide policies to conduct comprehensive reviews.
Required Qualifications Capabilities and Skills:
- Bachelors degree in Finance Accounting Business Administration or related field.
- Five years of experience in the securities and investment industry demonstrating a strong understanding of industry practices.
- Valid and active Series 7 9/10 (or 4 24 and 53) 66 (or 63/65) FINRA licenses ensuring compliance with industry standards.
- Valid and active Life Health and Long Term Care Insurance license or must be obtained within 60 days of starting in the role.
- Strong critical thinking and analytical skills with the ability to provide clear concise and timely resolution to issues.
- Excellent written and verbal communication skills including the ability to communicate effectively with all levels of management.
- Strong organizational skills with exceptional attention to detail ensuring accuracy and compliance in all tasks.
- Proven judgment and problem-resolution skills demonstrating the ability to make informed decisions.
- Familiarity with office software applications including Access Excel Word and PowerPoint for effective data analysis and reporting.
- Ability to work outside business hours and travel as needed demonstrating flexibility and commitment to the role.
- Commitment to timely and high-quality productivity ensuring all tasks are completed efficiently and effectively.
Preferred Qualifications Capabilities and Skills:
- Advanced knowledge of securities industry rules and regulations providing a strong foundation for compliance and risk management.
- Experience as a Supervisory or Compliance professional demonstrating expertise in managing and overseeing compliance efforts.
- Knowledge of FINRA MSRB and SEC rules and regulations ensuring adherence to industry standards and practices.
- Demonstrated ability to communicate with all levels of management providing insights and recommendations for improvement.
- Experience with Access Excel Word and PowerPoint demonstrating proficiency in data analysis and reporting.
- Ability to build relationships across business functions fostering collaboration and information sharing.
- Experience in recruiting interviewing and mentoring staff contributing to the development and growth of team members.
Required Experience:
Chief
Employment Type
Full-Time
