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As a Supervisory Director in Chase Wealth Management, you will be responsible for developing, implementing and leading organizational strategies. You will spearhead process changes as well as lead efforts to identify process improvements in the organization. You will support and lead project and program management work while serving as the top point of escalation for stakeholders and the broader team.

Job responsibilities

+ Lead an organization of Registered Principals that are responsible for reviewing and determining suitability for a variety of products within a respective region

+ Partner with the Regional Directors and our other Supervision teams to ensure business objectives are achieved

+ Ensure business and firm-wide initiatives are successfully driven by Supervisory Manager team (i.e., Document Integrity, FINRA changes, etc.)

+ Develop and motivate the team by providing a compelling vision of shared goals and objectives

+ Set high standards while empowering and holding the team accountable for meeting those standards

+ Seek out ways to leverage and apply innovative ideas to enhance business results

+ Ensure day-to-day supervisory aspects of the business are functioning

+ Ensure timely and effective responses to compliance, supervision and audit examinations on a priority basis

+ Provide approval when needed to resolve any escalated supervisory issues

+ Facilitate communication & training to ensure all employees have needed knowledge of supervisory topics to mitigate risk and enhance the client experience

+ Participate on various committees and projects which convene to collaborate on strategic initiatives

Required qualifications, capabilities, and skills

+ 10+ years of experience in the securities / investment industry

+ 5+ years of experience managing a team is preferred

+ Licenses required to perform all job duties associated with the role: FINRA Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license

+ Minimum licensing requirement: 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.

+ Possess a working knowledge of the US financial regulation framework including applicable FINRA rules

+ Excellent leadership, communication, and people management skills

+ Ability to work independently and make sound, risk-based and suitability decisions based on firm policy

+ Ability to collaborate across multiple levels of supervision and work in a dynamic team environment that is consistently evolving

+ Ability to manage a pipeline of work from assignment to completion as well as meet or exceed business goals and objectives, while fostering a team atmosphere

+ Possess a deep understanding and experience of advisory services and a multitude of products and complex client accounts

+ Ability to provide thought leadership and identifies opportunities for process improvement

Preferred qualifications, capabilities, and skills

+ Bachelor's Degree preferred

+ Excellent presentation skills, effective written and verbal communication skills; must be comfortable dealing with senior management

+ Excellent leadership skills in change management

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

Base Pay/Salary

New York,NY $152,000.00 - $256,000.00 / year