J.P. Morgan Wealth Management - Central Supervisory Sales Practice Director - Columbus, OH and/or Chicago, IL
About The Position
J.P. Morgan Wealth Management is hiring an Executive Director in its Central Supervision organization to lead the Sales Practice Review function. The position provides enterprise-level leadership over Vice President-level Sales Practice Managers and the teams they oversee. The Director sets strategic priorities aligned with Central Supervision goals, leads complex initiatives, and uses sound judgment in a fast-paced, cross-functional environment. The role oversees the intake, assessment, and assignment of review items; guides managers through planning and executing complex reviews; and monitors progress and productivity to support timely completion. The Director is the top escalation point for the review team and other stakeholders, reviews final reports, and presents findings to senior management. The role also leads resource planning, recruiting, hiring, coaching, and development, and may lead special projects assigned by the Head of Central Supervision. The position reports directly to the Head of Central Supervision and is based in Columbus, Ohio and/or Chicago, Illinois.
Requirements
- 10 years of experience in the securities or investment industry, including a minimum of 5 years of direct management and leadership experience.
- Active FINRA Series 7, 66 (63/65), and 9/10 (4, 24, 53) licenses.
- Experience conducting broker/dealer sales practice reviews.
- Elevated knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
- Demonstrated experience in resource planning, recruiting, hiring, coaching, and developing employees and people managers.
- Elevated critical-thinking, analytical-research, and quantitative skills.
- Excellent written and verbal communication skills, including gathering evidence through telephone and in-person interviews.
- Deep understanding of and experience with advisory services and complex client accounts.
- Proven ability to lead and develop people managers and multi-layered teams, not just individual contributors.
- Strong organizational skills and exceptional diligence.
Nice To Haves
- Experience managing people managers, not just individual contributors.
- Bachelor's degree, or equivalent securities industry experience in lieu of a degree.
- Knowledge of FINRA, MSRB, and SEC rules and regulations.
- Strong executive presence and ability to represent the function to senior stakeholders.
- Thought leadership and enterprise-level process improvement experience.
Responsibilities
- Lead and direct Vice President-level Sales Practice Managers and the broader teams they manage.
- Set strategic direction and priorities for the sales practice review function in alignment with Central Supervision goals.
- Oversee intake, assessment, and assignment of items received for investigation.
- Supervise and support Vice President Managers in scoping, planning, executing, and completing complex reviews.
- Manage multiple complex reviews concurrently across the organization.
- Monitor review progress and overall team productivity to ensure timely completion.
- Guide Vice President Managers in identifying patterns and trends with broader customer, advisor, regional, or national impact.
- Review final reports for completeness, accuracy, thoroughness, and appropriate conclusions.
- Present review findings orally and in writing to senior management and other stakeholders.
- Oversee resource planning, recruiting, hiring, developing, and coaching of Vice President Managers and their teams.
- Lead special projects assigned by the Head of Central Supervision.
Benefits
- Comprehensive health care coverage.
- On-site health and wellness centers.
- Retirement savings plan.
- Backup childcare.
- Tuition reimbursement.
- Mental health support.
- Financial coaching.
- Eligible roles may receive commission-based pay and/or discretionary incentive compensation in cash and/or forfeitable equity.
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What This Job Offers
Job Type
Full-time
Career Level
Executive
Education Level
No Education Listed
