JPMorganChase
J.P. Morgan Wealth Management - Vice President - Supervisory Manager - Boston, M
JPMorganChase, Boston, Massachusetts, us, 02298
J.P. Morgan Wealth Management - Vice President - Supervisory Manager - Boston, MA
Join to apply for the J.P. Morgan Wealth Management - Vice President - Supervisory Manager - Boston, MA role at JPMorganChase.
Job Description At J.P. Morgan Advisors we have been helping high-net-worth individuals and families build and manage their wealth for more than 50 years. Led by an exclusive group of Investment Professionals throughout the United States, J.P. Morgan Advisors offers clients a broad suite of transactional, wealth management and investment advisory services. Our Investment Professionals — among the most experienced and creative in the industry — excel at leveraging the resources of one of the world’s leading global financial institutions on behalf of our clients.
As a Supervisory Manager in J.P. Morgan Advisors, you will exhibit leadership and operational expertise when performing designated supervisory duties to oversee a territory of Financial Advisors. You will be responsible for managing complex, high-risk escalations from end-to-end and outreach to executive level stakeholders.
Responsibilities
Monitor investment activities of registered and non-registered employees of J.P. Morgan Advisors
Review middle markets, institutional, and retail customer account activity, sales practices, suitability, documents, marketing material and customers\' statements to ensure compliance with various regulatory and legal requirements
Monitor the trading practices of Advisors with respect to regulatory requirements and internal policy
Assist in the on/off boarding of J.P. Morgan Advisors staff
Review client inquiries, issues, and complaints and complete a thorough investigation and provide resolution, coordinating with Compliance, Legal, Portfolio Management Risk Management & Control, and Senior Management
Serve as point of contact for resolution of questions or issues during the business day from oversight groups, providing clear, concise, and timely resolutions
Provide policy and procedural training to new employees, assist with continuing education requirements, and provide special training as warranted on specific topics; disseminate changes in policy and regulatory rules; discuss Compliance and new product lines with sales personnel
Act as the main point of contact for internal examinations conducted by Compliance and Internal Audit, including maintaining documentation in accordance with examiners’ requests
Resolve order errors by identifying circumstances, taking market action, completing error reporting, and assigning responsibilities as needed
Review client accounts as outlined by procedures; follow up on issues or make client contact as warranted and maintain records of the review process
Ensure written consent of the Office of the Secretary is obtained before outside speaking engagements; approve lectures or interviews and maintain a log; approve personal securities transactions as required by firm policy and review personal trading policy violations with Compliance
Required Qualifications, Capabilities, And Skills
7+ years of experience in the securities / investment industry
Licenses required: FINRA Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license
Valid and active Series 4 and appropriate State Insurance licenses are required or must be obtained within 90 days of starting in the role
Competent knowledge of relevant securities rules, regulations, guidelines, securities products and industry practices
Ability to provide clear, concise, and timely resolution to issues
Strong critical thinking, analytical research and quantitative skills
Strong written and verbal communications skills, including the ability to communicate with all levels of management
Excellent time management skills; proven judgment and problem-resolution abilities
Ability to understand new investment products, Advisor compensation plans, and firm-wide policies and procedures to conduct reviews
Ability to build relationships across functions to obtain necessary information for reviews
Preferred Qualifications, Capabilities, And Skills
Bachelor’s Degree preferred
Experience as a Supervisory or Compliance professional preferred
Advanced knowledge of FINRA, MSRB and SEC rules and regulations
Experience working in an environment alongside Advisors preferred
About Us 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.
Equal Opportunity We are an equal opportunity employer and value diversity and inclusion. We do not discriminate on protected attributes and provide reasonable accommodations for applicants and employees as required by law.
Team & Job Context Our Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
Note:
This description uses the original language from the job posting and reflects responsibilities and qualifications for the Supervisory Manager role in J.P. Morgan Advisors.
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Job Description At J.P. Morgan Advisors we have been helping high-net-worth individuals and families build and manage their wealth for more than 50 years. Led by an exclusive group of Investment Professionals throughout the United States, J.P. Morgan Advisors offers clients a broad suite of transactional, wealth management and investment advisory services. Our Investment Professionals — among the most experienced and creative in the industry — excel at leveraging the resources of one of the world’s leading global financial institutions on behalf of our clients.
As a Supervisory Manager in J.P. Morgan Advisors, you will exhibit leadership and operational expertise when performing designated supervisory duties to oversee a territory of Financial Advisors. You will be responsible for managing complex, high-risk escalations from end-to-end and outreach to executive level stakeholders.
Responsibilities
Monitor investment activities of registered and non-registered employees of J.P. Morgan Advisors
Review middle markets, institutional, and retail customer account activity, sales practices, suitability, documents, marketing material and customers\' statements to ensure compliance with various regulatory and legal requirements
Monitor the trading practices of Advisors with respect to regulatory requirements and internal policy
Assist in the on/off boarding of J.P. Morgan Advisors staff
Review client inquiries, issues, and complaints and complete a thorough investigation and provide resolution, coordinating with Compliance, Legal, Portfolio Management Risk Management & Control, and Senior Management
Serve as point of contact for resolution of questions or issues during the business day from oversight groups, providing clear, concise, and timely resolutions
Provide policy and procedural training to new employees, assist with continuing education requirements, and provide special training as warranted on specific topics; disseminate changes in policy and regulatory rules; discuss Compliance and new product lines with sales personnel
Act as the main point of contact for internal examinations conducted by Compliance and Internal Audit, including maintaining documentation in accordance with examiners’ requests
Resolve order errors by identifying circumstances, taking market action, completing error reporting, and assigning responsibilities as needed
Review client accounts as outlined by procedures; follow up on issues or make client contact as warranted and maintain records of the review process
Ensure written consent of the Office of the Secretary is obtained before outside speaking engagements; approve lectures or interviews and maintain a log; approve personal securities transactions as required by firm policy and review personal trading policy violations with Compliance
Required Qualifications, Capabilities, And Skills
7+ years of experience in the securities / investment industry
Licenses required: FINRA Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license
Valid and active Series 4 and appropriate State Insurance licenses are required or must be obtained within 90 days of starting in the role
Competent knowledge of relevant securities rules, regulations, guidelines, securities products and industry practices
Ability to provide clear, concise, and timely resolution to issues
Strong critical thinking, analytical research and quantitative skills
Strong written and verbal communications skills, including the ability to communicate with all levels of management
Excellent time management skills; proven judgment and problem-resolution abilities
Ability to understand new investment products, Advisor compensation plans, and firm-wide policies and procedures to conduct reviews
Ability to build relationships across functions to obtain necessary information for reviews
Preferred Qualifications, Capabilities, And Skills
Bachelor’s Degree preferred
Experience as a Supervisory or Compliance professional preferred
Advanced knowledge of FINRA, MSRB and SEC rules and regulations
Experience working in an environment alongside Advisors preferred
About Us 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.
Equal Opportunity We are an equal opportunity employer and value diversity and inclusion. We do not discriminate on protected attributes and provide reasonable accommodations for applicants and employees as required by law.
Team & Job Context Our Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
Note:
This description uses the original language from the job posting and reflects responsibilities and qualifications for the Supervisory Manager role in J.P. Morgan Advisors.
#J-18808-Ljbffr