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 a Supervisory Senior Associate in the Solutions Supervisory team, you will support our trading operations by ensuring compliance with industry regulations. You will conduct deep dives into brokerage and registered investment advisor (RIA) activities, investigate root causes of triggered reviews, and attend platform meetings. Together, we will uphold regulatory excellence and foster client trust, while you gain valuable experience and contribute to our dynamic team environment.
Job Responsibilities:
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- Review next-day trades to ensure compliance with industry rules and regulations.
- Provide support for trade reviews concerning registration exemptions, permissible legal forms, and Blue Sky laws.
- Escalate supervisory issues with actionable recommendations for resolution.
- Conduct root cause analysis to support the Solutions Supervisory team.
- Collaborate with Field and Central Supervisory Managers to resolve exceptions promptly.
- Compile data and materials for various governance forums.
- 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.
- Strong research, analytical, and problem-solving skills.
- Excellent interpersonal, verbal, and written communication skills.
- Strong 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.
- 4 years of relevant experience in the financial securities/investment industry.
- FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65).
Preferred Qualifications, Capabilities, and Skills:
- Bachelor's Degree preferred.
- Advanced knowledge of securities industry rules, regulations, and guidelines.
- Experience with Python, Alteryx, Tableau, and/or AI.
- Opportunity to obtain additional licenses for future advancement, including FINRA Series 9/10 (4,24,53) and appropriate State Life & Health Insurance license.
ABOUT US
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 over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. 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. Visit our FAQs for more information about requesting an accommodation.
JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans
ABOUT THE TEAM
J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset 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. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.