Chase · 1 month ago
J.P. Morgan Wealth Management - Vice President Supervisory Manager - Chicago, IL and/or Plano, TX
10 S Dearborn St, Chicago, IL, 60603, US
Full-time
Onsite
Mid, Senior Level
$104K/yr - $165K/yr
7+ years expChase is a leading financial services firm, and they are seeking a Vice President Supervisory Manager for their J.P. Morgan Wealth Management division. This role involves managing complex escalations, ensuring effective communication, and overseeing supervisory aspects of the business.
BankingFinancial Services
Responsibilities
Resolve e-communication and transaction-related inquiries effectively, and manage trade correction reviews and approvals
Review and approve all incoming and outgoing correspondence across multiple lines of business
Partner strategically with Field Management and Supervisory Managers to resolve exceptions and supervise registered personnel
Lead and implement business and firm-wide initiatives, overseeing day-to-day supervisory aspects of the business
Respond to Compliance, Supervision, and Audit Examination inquiries timely and effectively
Undertake project work and additional tasks as assigned by Central Supervision Management, including training newly hired team members
Escalate supervisory issues as necessary, providing relevant recommendations for appropriate actions
Review specific work items escalated internally by employees at various levels
Identify process improvements and drive change
Influence, articulate clearly, and align stakeholders to reach a final resolution
Qualification
Required
7+ years in the securities and investment industry
Has a deep understanding and experience of advisory services and a multitude of products and complex client accounts
Possesses Working knowledge of the US financial regulation framework including applicable FINRA rules
Strong knowledge and understanding of risk management and ability to work independently and make sound, risk-based decisions based on firm policy
Demonstrates strong research, analytical and problem-solving skills that leads to the ability to analyze trends and patterns; identify and implements improvements or enhancements
Ability to collaborate across multiple levels of supervision with strong interpersonal, verbal, & written communication skills while strong organization skills & attention to detail
Proven ability to work in a dynamic team environment that is consistently evolving
Strong time management skills in order to meet service level agreements and/or project deadlines
Active and valid FINRA Series 7 and one or more of the following licenses are required to be considered for the role: FINRA Series 66 (63,65), 9/10 (4,24,53) FINRA Series 7, 66 (63,65), 9/10 (4,24,53), all licenses are required to perform all job duties associated with the role. If any of the licenses not already held, they must be obtained within 120 days of starting in the role as a condition of employment
Preferred
Retail brokerage and/or annuity experience strongly preferred
Bachelor's Degree 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
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