J.P. Morgan Wealth Management Vice President Central Supervisory Brokerage Manager Tempe, AZ, andor Plano, TX
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Job Location:
Monthly Salary:
Posted on:
30+ days ago
Vacancies:
1 Vacancy
Job Summary
At JPMorgan Chase we empower clients support employees and uphold diversity and inclusion. We value innovation collaboration and professional growth while delivering exceptional customer service and cultivating strong relationships.
As the Central Supervisory Brokerage Manager VP within J.P. Morgan Wealth Management you will oversee regulatory obligations manage operational risk and fulfill supervisory requirements. You will collaborate with Field Supervisory Managers deliver training to new associates and promote process improvements. Your efforts will help ensure compliance with industry regulations while supporting the firms goals-based financial planning and wealth management solutions.
Job Responsibilities
- Review next-day trades to ensure compliance with FINRA rules and industry regulations.
- Evaluate and document trades flagged as exceptions for suitability.
- Assess the suitability of select new accounts and products.
- Escalate supervisory issues with actionable recommendations for resolution.
- Collaborate with Field Supervisory Managers to resolve exceptions promptly.
- Conduct training for newly hired Central Supervisory Associates.
- Identify process improvements and drive change initiatives.
- Participate in project work and additional tasks as assigned.
Required qualifications capabilities and skills
- Ability to work independently and make sound risk-based decisions.
- Excellent research analytical and problem-solving skills.
- Strong interpersonal verbal and written communication skills.
- Effective organizational skills and attention to detail.
- Proven ability to work in a dynamic evolving team environment.
- Effective time management skills to meet service level agreements and project deadlines.
- 7 years of relevant experience in the financial securities/investment industry.
- 5 years of experience in a Supervision Compliance Surveillance Operations or Control capacity.
- Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65) 9/10 (42453). Additional licensing requirements must be met within 120 days of hire.
Preferred qualifications capabilities and skills
- Bachelors Degree (B.A./B.S.) preferred.
Required Experience:
Exec
Key Skills
- Change Management
- Financial Services
- Growing Experience
- Managed Care
- Management Experience
- Analysis Skills
- Senior Leadership
- Performance Management
- Process Management
- Leadership Experience
- negotiation
- Analytics
About Company
JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans ov ... View more
