J.P. Morgan Wealth Management - Vice President Sales Practice Manager - Chicago, IL OR Columbus, OH:

At J.P Morgan Chase, we have and enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity and inclusion.

As a Vice President Sales Practice Manager within J.P.

Morgan Wealth Management, you will have the opportunity to identify and review potential sales practice issues.

You will manage complex, high-risk escalations and communicate with senior level stakeholders.

This role provides a unique opportunity to contribute to our team's success while developing your skills in sales practice management.

Job Responsibilities


* Plan and participate on complex reviews with limited supervision and guidance, including a determination of the books, records and documents requiring examination.


* Demonstrates ability to initiate and complete high quality reviews, including ability to work quickly on multiple time-sensitive matters.


* Organize and prepare the monthly proactive reporting for the sales practice review team.


* Collect, organize, and analyze information from a variety of sources to be used in the development of reviews of potential sales practice issues, including broker-dealer documents, trading, and financial information.


* Present findings (orally and/or in writing) to management and other potential constituents in an organized, concise, and timely fashion.


* Proactively identify patterns and trends in reviews that may have impact to more than one customer, more than one advisor, a region and/or national impact.


* Overall work is subject to review and correction by the Supervisory Sales Practice Review Team Manager, Director and/or the Head of Sales Practices.

Preferred Qualifications, Capabilities, and Skills


* Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.


* Demonstrates a high level of critical thinking, analytical research, and quantitative skills.


* Strong written and verbal communications skills, including an ability to gather evidence through the use of telephone and in-person interviews.


* Strong organizational and time-management skills with exceptional attention to detail.


* Strong oral and written communication skills.


* Possess strong computer skills (e.g., Access, Excel, Word, and PowerPoint).


* Deep understanding and experience of advisory services and a multitude of products and complex client accounts.

Required Qualifications, Capabilities, and Skills


* 7+ years in the securities and investment industry


* Active and valid FINRA Series 7 required to be considered for the role.


* FINRA Series 66 (63,65), 9/10 (4,24,53) 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.)...