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Join JPMorgan Chase & Co., a global leader in financial services with assets of $2.6 trillion, and be part of a team that makes a real difference every day. As a member of our Asset & Wealth Management division, you'll be at the forefront of global investment management, providing innovative solutions in equities, fixed income, real estate, hedge funds, and more. With a commitment to customer service, you'll help shape the future for our clients and communities, driving impactful solutions that enhance lives. Embrace the opportunity to build your career on a strong foundation and contribute to a dynamic and evolving industry, where your efforts will be recognized and valued.

As a Chase Wealth Management Supervisory Manager in the CWM Field Supervisory team, you will lead a team responsible for conducting thorough active account and Advisor book reviews. You will play a crucial role in ensuring high-quality work and adapting to the changing regulatory environment. Your efforts will help us identify trends and opportunities, driving impactful solutions for our clients and business. You will interface with senior leadership, develop subject matter expertise, and contribute to the continuous improvement of our processes and systems.

Job Responsibilities:

+ Monitor and analyze active account and book reviews to ensure compliance and optimize client investment strategies.

+ Ensure team members understand their responsibilities and adapt to regulatory changes, maintaining high-quality work standards.

+ Identify and resolve issues, risks, and exposures, collaborating with senior leadership to implement solutions and align strategies.

+ Develop and refine rules based on prior findings to enhance system logic for risk-based reviews.

+ Review, draft, and update desktop procedures, effectively communicating changes to the team.

+ Develop expertise in securities rules and regulations through research and training.

+ Collaborate with the Sales Practice Review team to escalate potential issues to the Disciplinary Action Forum.

+ Conduct Advisor book reviews to identify trends or patterns that may impact multiple customers.

+ Identify and escalate potential issues to appropriate parties for further action.

+ Create and present detailed reports to senior management, providing insights and recommendations.

+ Understand new investment products, compensation plans, and firm-wide policies to conduct comprehensive reviews.

Required Qualifications, Capabilities, and Skills:

+ Bachelor's degree in Finance, Accounting, Business Administration, or related field.

+ Five years of experience in the securities and investment industry, demonstrating a strong understanding of industry practices.

+ Valid and active Series 7, 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards.

+ Valid and active Life, Health, and Long Term Care Insurance license, or must be obtained within 60 days of starting in the role.

+ Strong critical thinking and analytical skills, with the ability to provide clear, concise, and timely resolution to issues.

+ Excellent written and verbal communication skills, including the ability to communicate effectively with all levels of management.

+ Strong organizational skills with exceptional attention to detail, ensuring accuracy and compliance in all tasks.

+ Proven judgment and problem-resolution skills, demonstrating the ability to make informed decisions.

+ Familiarity with office software applications, including Access, Excel, Word, and PowerPoint, for effective data analysis and reporting.

+ Ability to work outside business hours and travel as needed, demonstrating flexibility and commitment to the role.

+ Commitment to timely and high-quality productivity, ensuring all tasks are completed efficiently and effectively.

Preferred Qualifications, Capabilities, and Skills:

+ Advanced knowledge of securities industry rules and regulations, providing a strong foundation for compliance and risk management.

+ Experience as a Supervisory or Compliance professional, demonstrating expertise in managing and overseeing compliance efforts.

+ Knowledge of FINRA, MSRB, and SEC rules and regulations, ensuring adherence to industry standards and practices.

+ Demonstrated ability to communicate with all levels of management, providing insights and recommendations for improvement.

+ Experience with Access, Excel, Word, and PowerPoint, demonstrating proficiency in data analysis and reporting.

+ Ability to build relationships across business functions, fostering collaboration and information sharing.

+ Experience in recruiting, interviewing, and mentoring staff, contributing to the development and growth of team members.

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

Albany,NY $98,800.00 - $156,000.00 / year; Rochester,NY $98,800.00 - $156,000.00 / year