Be an early applicantLess than 25 applicants

Company

Original Job Post

JPMorgan Chase & Co. · 5 days ago

Vice President - Supervisory Manager

Palo Alto, CA

Full-time

Onsite

Executive

7+ years exp

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Asset ManagementBanking

H1B Sponsorship

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Insider Connection @JPMorgan Chase & Co.

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Responsibilities

Coordinate and lead monthly meetings with Market Manager, presenting key findings and activities overview.

Participate in Market Leadership meetings, interact with employees to resolve queries, and coordinate changes to employee registration profiles.

Train new hires and existing employees on procedures, address suitability concerns, and review compliance surveillance inquiries.

Provide approvals for brokerage trade corrections, oversee incoming correspondence, and act as an escalation contact for investment-related errors and complaints.

Act as a liaison for annual compliance branch exams and work with Market Manager on remediation as needed.

Qualification

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SecuritiesFINRA SIESeries 7Series 66Series 9/10Series 4Analytical ResearchQuantitative SkillsMarket KnowledgeProblem-SolvingCritical ThinkingCommunicationTime ManagementOrganizationInvestment products knowledgeProcedures understandingSupervisoryRisk managementComplianceInterpersonal skillsProblem solving

Required

7+ years of experience with supervision of securities / investment industry

Licenses required to perform all job duties associated with the role: FINRA SIE, Series 7, 66 (63/65), 9/10 (4,24,53)

A valid Series 4 is required or must be obtained within 90 days of starting in the role as a condition of employment

Ability to provide clear, concise, and timely resolution to issues. Proven judgement and problem-resolution skills; comfortable making decisions independently and dealing with conflict in high-stress situations

Demonstrate strong critical thinking, analytical research and quantitative skills.

Strong written and verbal communications skills, including an ability to communicate with all levels of leadership and Market colleagues

Possess excellent time management, organization and follow-up skills

Preferred

Bachelor’s Degree preferred

Experience as a Supervisory, Risk or Compliance professional preferred

Experience working in an environment alongside Advisors preferred

Ability to understand new investment products and firm-wide policies and procedures

Benefits

Comprehensive health care coverage

On-site health and wellness centers

Retirement savings plan

Backup childcare

Tuition reimbursement

Mental health support

Financial coaching

Company

JPMorgan Chase & Co.

Glassdoor

4.0

With a history tracing its roots to 1799 in New York City, JPMorgan Chase is one of the world's oldest, largest, and best-known financial institutions—carrying forth the innovative spirit of our heritage firms in global operations across 100 markets.

Founded in 2000

New York, New York, USA

10,001+ employees

http://www.jpmorganchase.com

H1B Sponsorship

JPMorgan Chase & Co. has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Trends of Total Sponsorships

2023 (2462)

2022 (3868)

2021 (3211)

2020 (2556)