J.P. Morgan Wealth Management - Vice President Supervisory Manager - Chicago, IL

JPMorgan Chase & Co.•Chicago, IL

11d•$104,500 - $165,000•Onsite

About The Position

As a Vice President Supervisory Manager in J.P. Morgan Wealth Management, you will be responsible for managing complex, high risk escalations from end-to-end and outreach to the field and executive level stakeholders. You will ensure effective resolution of e-communication and transaction-related inquiries, manage trade correction reviews and approvals, and review and approve all incoming and outgoing correspondence across multiple lines of business.

Requirements

7+ years in the securities and investment industry
Has a deep understanding and experience of advisory services and a multitude of products and complex client accounts. Also possesses Working knowledge of the US financial regulation framework including applicable FINRA rules. Additionally, has a knowledge and understanding of risk management.
Ability to work independently and make sound, risk-based decisions based on firm policy
Demonstrates strong research, analytical and problem-solving skills that leads to the ability to analyze trends and patterns; identify and implements improvements or enhancements
Ability to collaborate across multiple levels of supervision with strong interpersonal, verbal, & written communication skills while strong organization skills & attention to detail
Proven ability to work in a dynamic team environment that is consistently evolving
Strong time management skills in order to meet service level agreements and/or project deadlines
Active and valid FINRA Series 7 and one or more of the following licenses are required to be considered for the role: FINRA Series 66 (63,65), 9/10 (4,24,53) FINRA Series 7, 66 (63,65), 9/10 (4,24,53), all licenses are required to perform all job duties associated with the role. If any of the licenses not already held, they must be obtained within 120 days of starting in the role as a condition of employment.

Nice To Haves

Retail brokerage and/or annuity experience strongly preferred
Bachelor’s Degree preferred

Responsibilities

Ensure effective resolution of e-communication and transaction-related inquiries; manage trade correction reviews and approvals.
Review and approve all incoming and outgoing correspondence across multiple lines of business.
Ensure day-to-day supervisory aspects of the business are functioning.
Ensure timely and effective responses to Compliance, Supervision and Audit Examination.
Strategically partner with Field Management; partner with Field Management in the supervision of registered personnel.
Strategically partner with Supervisory Managers or registered personnel in the field to resolve exceptions.
Escalate supervisory issues as necessary, providing relevant recommendations as to appropriate actions to be taken.
Lead and implement business and firm-wide initiatives.
Undertake project work and additional tasks as assigned by Central Supervision Management.
Assume responsibility for reviewing specific work items that have been escalated internally by employees at various levels.
Conduct training of newly hired team members; identify process improvements and help drive change; responsible for influencing, clearly articulating, and aligning stakeholders to final resolution; responsible for additional tasks as assigned by Central Supervision Management.