J.P. Morgan Wealth Management Vice President Central Supervisory Manager Columbus, OH, Tempe, AZ and Plano, TX
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Job Location:
Columbus, NE - USA
Monthly Salary:
Not Disclosed
Posted on:
3 days ago
Vacancies:
1 Vacancy
Job Summary
Join a team where your expertise shapes the future of financial services and client experiences. As a Central Supervisory Manager you will play a key role in ensuring the integrity and suitability of our offerings. Your insights and leadership will help us deliver exceptional service and maintain our reputation for excellence. Be part of a collaborative environment that values innovation continuous improvement and professional growth. Make a difference for our clients our team and your career.
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 cutting-edge technology and resources. We focus on building deep personal relationships with clients to offer goals-based financial planning and sophisticated solutions for generational wealth management.
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
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
