Executive Office Manager - US Wealth Management - Employee & Client Experience
About The Position
As part of Wealth Management Executive Office (WMEO), you are at the center of keeping JP Morgan Chase strong and resilient. The successful candidate in this position will join a team of WMEO Investigators from a diverse range of backgrounds and experience who review, research, resolve, and respond to the client complaints related to investments. When someone joins the WMEO, you will feel that this is a place where we promote work life balance, career progression, and a positive culture. As a Wealth Management Executive Office VP Senior Investigator in J.P. Morgan Wealth Management, you will be responsible for researching and resolving non-sales and sale practice client complaints from clients, attorneys and regulators. Your role will also involve communicating resolutions to clients, attorneys and regulators, and escalating matters when necessary.
Requirements
- Bachelor's Degree
- Series 7 required
- At least 5 years of securities industry experience
- Strong phone and verbal communication skills
- Experience with J. P. Morgan Wealth Management
- Advanced writing ability
Nice To Haves
- J.D. Degree preferred
- Experience handling complaints preferred
- Series 66, 9/10, 24, 53, 4, and Life and Health desirable
- At least 5 years of securities industry experience
- Experience communicating with clients over the phone strongly preferred
- Experience with the Private Bank helpful
Responsibilities
- Research and resolve client complaints, including review of complaint correspondence and documents, account records, and recorded client interactions, and interviews of clients, registered representatives, or other Firm employees
- Investigate all regulator (i.e., SEC, FINRA, etc.) and attorney complaints
- Communicate resolutions verbally or via written response
- Ensure that potential complaint-related FINRA filings are submitted to the Firm's Registration department for review
- Partner with the Firm’s Legal department on resolutions for regulatory and attorney complaints
- Assist the Firm’s Legal department as needed on responses to regulatory inquiries regarding client complaints, and pending arbitration and/or litigation involving client complaints
- Identify and escalate operational and employee sales misconduct-related concerns
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
