Chase · 1 month ago
J.P. Morgan Wealth Management - Vice President - Supervisory Manager - San Jose, CA
5393 Almaden Expy, San Jose, CA, 95118, US
Full-time
Onsite
Mid, Senior Level
5+ years expChase, through J.P. Morgan Wealth Management, offers comprehensive financial planning and investment strategies to clients. As a Supervisory Manager, you will oversee a team of Financial Advisors, manage complex escalations, and ensure compliance with regulatory standards.
BankingFinancial Services
Responsibilities
Monitor and analyze the progress of active account and book reviews, as well as staff productivity
Identify opportunities to address issues, risks, and exposures, and engage senior leadership to take action on identified issues
Ensure the team fully understands their responsibilities to perform high-quality work and adapt to the changing regulatory environment
Comprehend system logic used in conducting risk-based reviews and further develop and refine rules based on prior findings
Review, draft, or update desktop procedures as needed, and effectively communicate changes to team members
Develop subject matter expertise in securities rules and regulations through knowledge acquisition, research, and training
Implement account reviews to monitor the ongoing suitability of investments and activities in client accounts
Conduct Advisor book reviews to identify trends or patterns requiring further review that may impact multiple customers
Identify and escalate potential issues to appropriate parties for further action
Collaborate with the Sales Practice Review team to escalate potential issues to the Disciplinary Action Forum
Supervise the development and mentoring of staff at varying levels of expertise; assess staff performance; prepare and deliver performance evaluations; and participate in recruiting, interviewing, retaining, and recommending pay actions for staff
Qualification
Required
Minimum of 5 years of experience in a principal capacity and 2 years of experience within the securities investment industry supervision, compliance, or risk capacity, in retail investments
Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies
Eagerness to engage directly with clients and advisors
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
Competent knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices
Strong critical thinking, analytical research, and quantitative skills with the ability to provide clear, concise, and timely resolution to issues
Excellent written and verbal communication skills, including the ability to communicate with all levels of management
Exceptional time management, risk analysis, proven judgment, problem-resolution and decision-making skills
Ability to understand new investment products, Advisor/Banker compensation plans, and firm-wide policies and procedures to conduct reviews
Ability to build relationships across business functions to obtain necessary information for conducting reviews
Ability to travel 50% of the time
Preferred
Bachelor's Degree preferred
Experience as a Supervisory or Compliance professional preferred
Advanced knowledge of FINRA, MSRB, and SEC rules and regulations
Experience working alongside Advisors preferred
Company
Chase
Chase provides broad range of financial services. It is a sub-organization of JP Morgan Chase.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Mike McDonnell
Managing Director, Head of Chase Travel Platform Product
Nicole Sanchez
Managing Director, Consumer Bank, GM and Product Executive, Growth Financial Products
Recent News
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