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About the Role

As a Supervisory Manager in Chase Wealth Management, you will exhibit leadership and operational expertise when performing designated supervisory duties to oversee a territory of Financial Advisors. You will be responsible for managing complex, high risk escalations from end-to-end and outreach to executive level stakeholders.

Responsibilities

Monitor and analyze the progress of active account and book reviews, as well as staff productivity.
Identify opportunities to address issues, risks, and exposures, and engage senior leadership to take action on identified issues.
Ensure the team fully understands their responsibilities to perform high-quality work and adapt to the changing regulatory environment.
Comprehend system logic used in conducting risk-based reviews and further develop and refine rules based on prior findings.
Review, draft, or update desktop procedures as needed, and effectively communicate changes to team members.
Develop subject matter expertise in securities rules and regulations through knowledge acquisition, research, and training.
Implement account reviews to monitor the ongoing suitability of investments and activities in client accounts.
Conduct Advisor book reviews to identify trends or patterns requiring further review that may impact multiple customers.
Identify and escalate potential issues to appropriate parties for further action.
Collaborate with the Sales Practice Review team to escalate potential issues to the Disciplinary Action Forum.
Supervise the development and mentoring of staff at varying levels of expertise; assess staff performance; prepare and deliver performance evaluations; and participate in recruiting, interviewing, retaining, and recommending pay actions for staff.

Requirements

Minimum of 5 years of experience in a principal capacity and 2 years of experience within the securities investment industry supervision, compliance, or risk capacity, in retail investments.
Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies.
Eagerness to engage directly with clients and advisors.
Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). appropriate State Life & Health Insurance license. Additional licensing requirements must be met within 120 days of hire.
Competent knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
Strong critical thinking, analytical research, and quantitative skills with the ability to provide clear, concise, and timely resolution to issues.
Excellent written and verbal communication skills, including the ability to communicate with all levels of management.
Exceptional time management, risk analysis, proven judgment, problem-resolution and decision-making skills.
Ability to understand new investment products, Advisor/Banker compensation plans, and firm-wide policies and procedures to conduct reviews.
Ability to build relationships across business functions to obtain necessary information for conducting reviews.
Ability to travel 50% of the time.
This position is subject to Section 19 of the Federal Deposit Insurance Act. As such, an employment offer for this position is contingent on JPMorganChase’s review of criminal conviction history, including pretrial diversions or program entries.

Skills

Leadership
Operational expertise
Risk management
Client relationship management
Financial planning
Securities rules and regulations
Critical thinking
Analytical research
Quantitative skills
Written communication
Verbal communication
Time management
Risk analysis
Judgment
Problem-resolution
Decision-making

Location

Remote

Work Type

Full-time

Experience Level

5 years of experience in a principal capacity
2 years of experience within the securities investment industry supervision, compliance, or risk capacity, in retail investments

Education Level

Bachelor’s Degree preferred

Benefits

Comprehensive health care coverage
On-site health and wellness centers
Retirement savings plan
Backup childcare
Tuition reimbursement
Mental health support
Financial coaching

About the Company

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.
Chase is a leading financial services firm, helping nearly half of America’s households and small businesses achieve their financial goals through a broad range of financial products.
Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do.
We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs.
Our Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
We’re proud to lead the U.S. in credit card sales and deposit growth and have the most-used digital solutions – all while ranking first in customer satisfaction.
We are here to help you manage your money with checking, savings and credit cards, combining the latest banking technology with comprehensive solutions to meet the financial needs of nearly half of U.S. households.

Equal Opportunity

We are an equal opportunity employer and place a high value on diversity and inclusion at our company.
We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law.
We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs.
Equal Opportunity Employer/Disability/Veterans