JPMorganChase
J.P. Morgan Wealth Management - Vice President Supervisory Manager - Chicago, IL
JPMorganChase, Chicago, Illinois, United States, 60290
Overview
J.P. Morgan Wealth Management position: Vice President Supervisory Manager – Chicago, IL, Tempe, AZ and/or Plano, TX. This description focuses on responsibilities and qualifications for the supervisory leadership role within Wealth Management. 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. Qualifications, Capabilities And Skills
7+ years in the securities and investment industry. Deep understanding and experience of advisory services and a multitude of products and complex client accounts. Working knowledge of the US financial regulation framework including applicable FINRA rules. Strong knowledge of risk management with the ability to work independently and make sound, risk-based decisions based on firm policy. Strong research, analytical and problem-solving skills with the ability to analyze trends and identify improvements or enhancements. Ability to collaborate across multiple levels of supervision with strong interpersonal, verbal, and written communication skills; strong organization and attention to detail. Proven ability to work in a dynamic team environment with strong time management to meet service level agreements and project deadlines. Active and valid FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63,65), 9/10 (4,24,53) or equivalent. All licenses are required to perform all job duties. If not held, must be obtained within 120 days of starting in the role as a condition of employment. Preferred Qualifications, Capabilities, And Skills
Retail brokerage and/or annuity experience strongly preferred. Bachelor’s Degree preferred. About Us
Chase is a leading financial services firm focused on helping households and small businesses achieve their financial goals through a broad range of products and services. Our mission is to create engaged, lifelong relationships and to put customers at the heart of everything we do. We offer a competitive total rewards package including base salary, potential incentives, and benefits such as comprehensive health care, retirement savings, and more. Equal Opportunity Employer
We are an equal opportunity employer and value diversity and inclusion. We do not discriminate on protected attributes and provide reasonable accommodations for applicants with religious practices or disability needs. Visit our FAQs for information about accommodations. Team and Job Function
Our Consumer & Community Banking division serves customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, and more. Job function: Finance and Sales; Seniority level: Mid-Senior level; Employment type: Full-time.
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J.P. Morgan Wealth Management position: Vice President Supervisory Manager – Chicago, IL, Tempe, AZ and/or Plano, TX. This description focuses on responsibilities and qualifications for the supervisory leadership role within Wealth Management. 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. Qualifications, Capabilities And Skills
7+ years in the securities and investment industry. Deep understanding and experience of advisory services and a multitude of products and complex client accounts. Working knowledge of the US financial regulation framework including applicable FINRA rules. Strong knowledge of risk management with the ability to work independently and make sound, risk-based decisions based on firm policy. Strong research, analytical and problem-solving skills with the ability to analyze trends and identify improvements or enhancements. Ability to collaborate across multiple levels of supervision with strong interpersonal, verbal, and written communication skills; strong organization and attention to detail. Proven ability to work in a dynamic team environment with strong time management to meet service level agreements and project deadlines. Active and valid FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63,65), 9/10 (4,24,53) or equivalent. All licenses are required to perform all job duties. If not held, must be obtained within 120 days of starting in the role as a condition of employment. Preferred Qualifications, Capabilities, And Skills
Retail brokerage and/or annuity experience strongly preferred. Bachelor’s Degree preferred. About Us
Chase is a leading financial services firm focused on helping households and small businesses achieve their financial goals through a broad range of products and services. Our mission is to create engaged, lifelong relationships and to put customers at the heart of everything we do. We offer a competitive total rewards package including base salary, potential incentives, and benefits such as comprehensive health care, retirement savings, and more. Equal Opportunity Employer
We are an equal opportunity employer and value diversity and inclusion. We do not discriminate on protected attributes and provide reasonable accommodations for applicants with religious practices or disability needs. Visit our FAQs for information about accommodations. Team and Job Function
Our Consumer & Community Banking division serves customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, and more. Job function: Finance and Sales; Seniority level: Mid-Senior level; Employment type: Full-time.
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