About The Position
J.P. Morgan Asset & 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 lead. The Director sets strategy, oversees complex and concurrent reviews, and helps proactively identify risks while protecting clients and the Firm from financial, regulatory, and reputational harm. The role is the top point of escalation for the review team, VP Managers, and other stakeholders. It works across Compliance, Risk, Controls, Operations, and Technology, and reports directly to the Head of Central Supervision. The Director also leads large-scale initiatives and enterprise-wide process improvements in a fast-paced environment involving complexity, ambiguity, and high-stakes decisions.
Requirements
- At least 10 years of experience in the securities or investment industry.
- At least 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.
- 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, through them, a broader team of individual contributors.
- 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 across the team.
- Supervise and support VP Managers in the scope, planning, execution, and completion of complex reviews.
- Manage multiple complex reviews occurring concurrently across the organization.
- Monitor review progress and overall team productivity to ensure timely completion.
- Guide VP 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 VP Managers and their teams.
- Lead special projects assigned by the Head of Central Supervision.
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What This Job Offers
Job Type
Full-time
Career Level
Director
Education Level
No Education Listed
