J.P. Morgan Wealth Management - Central Supervisory Brokerage Manager VP - Tempe, AZ, Columbus, OH a

At JPMorgan Chase, we empower clients, support employees, and uphold diversity and inclusion.

We value innovation, collaboration, and professional growth while delivering exceptional customer service and cultivating strong relationships.

As a Central Supervisory Manager, you will play a crucial role in ensuring our trading operations comply with FINRA rules and industry regulations.

You will be responsible for reviewing trades, evaluating flagged reviews, and assessing the suitability of new accounts and products.

Your work will contribute to our firm's commitment to regulatory excellence and client trust.

Key Responsibilities:


* Review next-day trades to ensure compliance with FINRA rules and industry regulations.


* Evaluate and document trades flagged as exceptions for suitability.


* Assess the suitability of select new accounts and products.


* Escalate supervisory issues with actionable recommendations for resolution.


* Collaborate with Field Supervisory Managers to resolve exceptions promptly.


* Conduct training for newly hired Central Supervisory Associates.


* Identify process improvements and drive change initiatives.


* Participate in project work and additional tasks as assigned.

Required Qualifications, Capabilities, and Skills:


* Ability to work independently and make sound, risk-based decisions.


* Excellent research, analytical, and problem-solving skills.


* Strong interpersonal, verbal, and written communication skills.


* Effective organizational skills and attention to detail.


* Proven ability to work in a dynamic, evolving team environment.


* Effective time management skills to meet service level agreements and project deadlines.


* 7 years of relevant experience in the financial securities/investment industry.


* 5 years of experience in a Supervision, Compliance, Surveillance, Operations, or Control capacity.


* FINRA Series 7, 66 (63/65), 9/10 (or 4, 24, 53), and appropriate State Life & Health Insurance License.

Preferred Qualifications, Capabilities, and Skills:


* Bachelor's Degree (B.A./B.S.) preferred.

Equal Opportunity Statement: JPMorgan Chase is an equal opportunity employer.

We celebrate diversity and are committed to creating an inclusive environment for all employees.

Chase is a leading financial services firm, helping nearly half of America's households and small businesses achieve their financial goals through a broad range of financial products.

Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do.

We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs.

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 ca...