J.P. Morgan Wealth Management Vice President Central Supervisory Manager Chicago, IL
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Job Location:
Chicago, IL - USA
Monthly Salary:
$ 104500 - 165000
Posted on:
27 days ago
Vacancies:
1 Vacancy
Job Summary
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 goals-based financial planning advice and to deliver sophisticated products and solutions to meet their generational wealth management needs.
As a Supervisory Manager in Wealth Management you will exhibit leadership and operational expertise when performing an appropriateness review on an exception basis of transactions placed in client accounts. You will be responsible for managing complex high risk escalations from end-to-end and outreach to executive level stakeholders.
Job responsibilities
- Conduct suitability reviews associated with a variety of Brokerage (i.e. stocks bonds options mutual funds etc.) as well as Managed Account transactions.
- Escalate supervisory issues as necessary providing relevant recommendations as to appropriate actions to be taken.
- Strategically partner with Supervisory Managers or registered personnel in the field to resolve exceptions.
- Undertake project work and additional tasks as assigned by Central Supervision Management.
- Influence process improvements and help promote change.
- Influence clearly articulating and aligning stakeholders to final resolution.
Required qualifications capabilities and skills
- 7 years of experience in the securities / investment industry.
- Minimum licensing requirement: 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.
- 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 problem-resolution skills.
- Ability to understand new investment products Advisor / Banker 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
- State Life & Health Insurance license a plus but not required
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 broker-dealer 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 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:
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
