J.P. Morgan Wealth Management - Vice President Supervisory Team Manager - Tempe, AZ and/or Plano, TX

JPMorgan Chase & Co. • Plano, TX

3d

About The Position

Are you ready to make an impact in the world of brokerage supervision? Join us as a Supervisory Team Manager and help drive operational excellence, risk management, and process improvement. You’ll lead a talented team, resolve high-risk escalations, and collaborate with field and executive stakeholders. This is your opportunity to shape supervisory practices, develop employees, and influence business outcomes. Be part of a team where your leadership and expertise are valued.

As a Brokerage Supervisory Team Manager in Central Supervision, you will manage a team of Registered Principals responsible for reviewing and determining suitability for a variety of brokerage and managed account transactions. You will lead us in handling complex escalations, partnering with field personnel, and driving process improvements. Together, we will foster a collaborative, high-performing team environment and deliver exceptional supervisory oversight.

Requirements

• Minimum 7 years of experience in the securities and investment industry
• Ability to work independently and make sound, risk-based decisions
• Strong research, analytical, and problem-solving skills
• Ability to analyze trends and implement improvements
• Effective collaboration across multiple levels of supervision
• Excellent interpersonal, verbal, and written communication skills
• Strong organizational skills and attention to detail
• Proficiency in Microsoft Office and strong computer skills
• Proven ability to thrive in a dynamic, evolving team environment
• Strong time management and ability to meet deadlines
• Active and valid FINRA Series 7 and one or more of the following: Series 66 (63,65), 9/10 (4,24,53), State Life & Health Insurance license (must obtain within 120 days if not already held)

Nice To Haves

• Management experience
• Advanced knowledge of securities industry rules, regulations, and guidelines
• Significant and equivalent experience in a directly related securities industry position (may substitute for bachelor’s degree)

Responsibilities

• Manage a team of Registered Principals reviewing suitability for brokerage and managed account transactions
• Lead workflow and volumes with urgency and efficiency
• Escalate supervisory issues and provide actionable recommendations
• Strategically partner with field Supervisory Managers to resolve exceptions
• Execute project work and additional tasks as assigned
• Conduct training for newly hired team members
• Identify and drive process improvements
• Influence and align stakeholders to final resolutions
• Recruit, hire, develop, and coach employees
• Articulate supervisory findings and align stakeholders
• Manage complex, high-risk escalations from end-to-end

Benefits

• We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location.
• Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions.
• We also offer a range of benefits and programs to meet employee needs, based on eligibility.
• These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more.
• Additional details about total compensation and benefits will be provided during the hiring process.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed