J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions with client assets of $4 trillion. 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.
As a Supervisory Manager in Chase Wealth Management, you will lead and oversee a territory of Financial Advisors, ensuring compliance with regulatory obligations and managing operational risk. You will work closely with senior leadership to address complex issues and provide strategic solutions. Your role is crucial in maintaining the integrity and success of our wealth management services.
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Job Responsibilities:
- Recognize and address issues, risks, and exposures.
- Engage senior leadership to implement solutions.
- Coach business partners to adapt to regulatory changes.
- Interface with leadership teams across lines of business.
- Develop expertise in securities rules and regulations.
- Implement account reviews for investment suitability.
- Conduct Advisor book reviews to identify trends.
- Escalate potential issues to appropriate parties.
- Present reports to senior management.
- Collaborate with Sales Practice Review team.
- Resolve questions and issues from oversight groups.
Required Qualifications, Capabilities, and Skills:
- 7 years of experience in the securities/investment industry.
- Bachelor's Degree.
- Experience in supervisory or compliance roles.
- Knowledge of FINRA, MSRB, and SEC rules.
- Strong critical thinking and analytical skills.
- Excellent written and verbal communication skills.
- Strong organizational and time management skills.
- Proven judgment and problem-resolution skills.
- Familiarity with office software applications.
- 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.
Preferred Qualifications, Capabilities, and Skills:
- Experience with Advisor/Banker compensation plans.
- Ability to build relationships across business functions.
- Understanding of new investment products.
- Experience in conducting reviews.
- Ability to communicate with all levels of management.
- Exceptional attention to detail.
ABOUT US
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.
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.
Equal Opportunity Employer/Disability/Veterans
ABOUT THE TEAM
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.