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

J.P.

Morgan Wealth Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals while utilizing the latest technology and resources of the entire firm.

Our Wealth Management teams develop deep, personal relationships with clients to provide goals-based financial planning advice and to deliver sophisticated products and solutions to meet their generational wealth management needs.

As a Supervisory Manager in J.P.

Morgan Wealth Management, you will exhibit leadership and operational expertise when performing an appropriateness review on an exception basis of transactions placed in client accounts.

You will be responsible for managing complex, high risk escalations from end-to-end and outreach to executive level stakeholders.

Job responsibilities


* Conduct suitability reviews for a variety of brokerage transactions, including stocks, bonds, options, mutual funds, and managed account transactions.


* Escalate supervisory issues as necessary, providing relevant recommendations for appropriate actions.


* Collaborate strategically with Supervisory Managers or registered personnel in the field to resolve exceptions.


* Engage in project work and additional tasks as assigned by Central Supervision Management.


* Identify and implement process improvements to drive change.


* Influence, articulate, and align stakeholders to achieve final resolution.

Required qualifications, capabilities, and skills


* A minimum of 7 years of experience in the securities/investment industry.


* Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53).

Additional licensing requirements must be met within 120 days of hire.


* Demonstrated knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.


* Proven ability to provide clear, concise, and timely resolution to issues.


* Strong critical thinking, analytical research, and quantitative skills.


* Excellent written and verbal communication skills, with the ability to communicate effectively with all levels of management.


* Superior time management skills.


* Proven judgment and problem-resolution skills.


* Ability to understand new investment products, Advisor/Banker compensation plans, and firm-wide policies and procedures to conduct reviews.


* Ability to build relationships across business functions to obtain necessary information for conducting reviews.

Preferred qualifications, capabilities, and skills


* Bachelor's Degree is preferred.


* Experience as a Supervisory or Compliance professional is preferred.


* Advanced knowledge of FINRA, MSRB, and SEC rules and regulations.


* Experience working in an environment alongside Advisors is preferred.


* State Life & Health Insurance license is a plus, bu...