J.P. Morgan Wealth Management - Private Bank Supervisory Manager - Tampa FL

JPMorgan Chase & Co.•Tampa, FL

18h•Onsite

About The Position

As a Private Bank Supervisory Manager in Asset & Wealth Management, you will coordinate and work closely with the Private Bank Market Leadership and within the Supervisory team to meet existing supervisory procedure requirements. You will be responsible for managing complex, high risk escalations from end-to-end and outreach to executive level stakeholders.

Requirements

7+ years of experience with supervision of securities / investment industry
Licenses required to perform all job duties associated with the role: FINRA SIE, Series 7, 66 (63/65), 9/10 (4,24,53)
A valid Series 4 is required or must be obtained within 90 days of starting in the role as a condition of employment
Ability to provide clear, concise, and timely resolution to issues. Proven judgement and problem-resolution skills; comfortable making decisions independently and dealing with conflict in high stress situations
Demonstrate strong critical thinking, analytical research and quantitative skills.
Strong written and verbal communications skills, including an ability to communicate with all levels of leadership and Market colleagues
Possess excellent time management, organization and follow up skills

Nice To Haves

Bachelor’s Degree preferred
Experience as a Supervisory, Risk or Compliance professional preferred
Experience working in an environment alongside Advisors preferred
Ability to understand new investment products and firm wide policies and procedures

Responsibilities

Coordinate and lead monthly meeting with Market Manager. This includes preparing and presenting key findings and overview of activities in prior month
Participate in Market Leadership meetings and join Market Team calls. Interact with employees in the market to address questions and take action to resolve
Coordinate with employees, management and Registration department on changes to employee registration profile including U4 amendments
Train new hires and existing employees on procedures or specific topics as needed
Coordinate with Central Supervision, address suitability concerns, review customized client materials, and act as a liaison for issue resolution. Review and resolve compliance surveillance inquiries
Provide principal approval for brokerage trade corrections. Review and action brokerage account maintenance requests (i.e. options, margin, QIB)
Perform oversight of incoming correspondence, checks, and securities. Review trends and patterns of escalated email violations.
Provide pre-approval of suitability for accounts to participate in alternative investments; review and determine account eligibility for Initial Equity Public Offerings
Act as error escalation contact for investment related errors. This includes reviewing and correcting error as well as completing escalation and reporting
Act as complaint escalation contact, review circumstance to determine possible complaint, submit to firm wide complaint reporting tool, and coordinate with complaint response team for appropriate resolution
Act as liaison for annual compliance branch exam. Work with Market Manager to address any remediation needed