J.P. Morgan Asset & Wealth Management Global Private Bank - Vice President Supervisory Manager - Fort Worth, TX

JPMorgan Chase & Co.•Fort Worth, TX

47d•Onsite

About The Position

J.P. Morgan Asset & Wealth Management Global Private Bank is seeking a Vice President Supervisory Manager in Fort Worth, TX. This role involves coordinating with Private Bank Market Leadership and the Supervisory team to meet supervisory procedure requirements. The manager will be responsible for handling complex, high-risk escalations from beginning to end and communicating with 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 judgment 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 meetings with the Market Manager, including preparing and presenting key findings and an overview of activities from the prior month.
Participate in Market Leadership meetings and Market Team calls, interacting with employees to address questions and resolve issues.
Coordinate with employees, management, and the Registration department on changes to employee registration profiles, 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 (e.g., 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 an error escalation contact for investment-related errors, including reviewing and correcting errors, and completing escalation and reporting.
Act as a complaint escalation contact, reviewing circumstances to determine possible complaints, submitting to the firm-wide complaint reporting tool, and coordinating with the complaint response team for appropriate resolution.
Act as a liaison for annual compliance branch exams, working with the Market Manager to address any needed remediation.