• JP Morgan Wealth Management - Vice President…

    JPMorgan Chase (Chicago, IL)


     

    As a Supervisory Manager in J.P.Morgan Wealth Management, you will exhibit leadership and operational expertise when performing an appropriateness review on an exception basis of transactions placed in client accounts. You will be responsible for managing complex, high risk escalations from end-to-end and outreach to executive level stakeholders.

    Job responsibilities

    + Conduct suitability reviews associated with a variety of Brokerage (i.e. stocks, bonds, options, mutual funds, etc.) as well as Managed Account transactions.

    + Escalate supervisory issues as necessary, providing relevant recommendations as to appropriate actions to be taken.

    + Strategically partner with Supervisory Managers or registered personnel in the field to resolve exceptions.

    + Undertake project work and additional tasks as assigned by Central Supervision Management.

    + Influence process improvements and help promote change.

    + Influence, clearly articulating and aligning stakeholders to final resolution.

    Required qualifications, capabilities, and skills

    + 7+ years of experience in the securities / investment industry.

    + Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). Additional licensing requirements must be met within 120 days of hire.

    + Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.

    + Ability to provide clear, concise, and timely resolution to issues.

    + Demonstrate strong critical thinking, analytical research, and quantitative skills.

    + Strong written and verbal communications skills, including an ability to communicate with all levels of management.

    + Possess excellent time management skills.

    + Proven judgment and problem-resolution skills.

    + Ability to understand new investment products, Advisor / Banker compensation plans, firm wide policies, and procedures to conduct reviews.

    + Ability to build relationships across business functions to obtain necessary information to conduct reviews.

    Preferred qualifications, capabilities, and skills

    + Bachelor's Degree preferred

    + Experience as a Supervisory or Compliance professional preferred

    + Possess an advanced knowledge of FINRA, MSRB and SEC rules and regulations

    + Experience working in an environment alongside Advisors preferred

    + State Life & Health Insurance license a plus, but not required

    INVESTMENT AND INSURANCE PRODUCTS ARE:

    • NOT FDIC INSURED • NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY • NOT A DEPOSIT OR OTHER OBLIGATION OF, OR GUARANTEED BY, JPMORGAN CHASE BANK, N.A. OR ANY OF ITS AFFILIATES • SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED

     

    Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, N.A. are affiliated companies under the common control of JPMorgan Chase & Co. Products not available in all states.

     

    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

    Chicago,IL $104,500.00 - $165,000.00 / year