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Chase · 1 day ago

J.P Morgan Wealth Management - Supervisory Manager - North Florida, Jacksonville , FL

7301 Baymeadows Way, Jacksonville, FL, 32256, US

Full-time

Onsite

Senior Level

5+ years exp

Chase is a leading financial services firm, providing individuals and institutions with strategies and expertise in wealth management. As a Supervisory Manager, you will oversee a territory of Financial Advisors, manage complex escalations, and ensure compliance with regulatory standards while developing staff and fostering high-quality work.

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

FINRA Series 7Securities regulations knowledgeRisk analysisFinancial planning strategiesAnalytical research skillsProblem-resolution skillsBilingual SpanishCommunication skillsTime management

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