J.P. Morgan Wealth Management - Vice President Supervisory Manager - Pittsford, NY

Join JPMorgan Chase & Co., a global leader in financial services with assets of $2.6 trillion, and be part of a team that makes a real difference every day.

As a member of our Asset & Wealth Management division, you'll be at the forefront of global investment management, providing innovative solutions in equities, fixed income, real estate, hedge funds, and more.

With a commitment to customer service, you'll help shape the future for our clients and communities, driving impactful solutions that enhance lives.

Embrace the opportunity to build your career on a strong foundation and contribute to a dynamic and evolving industry, where your efforts will be recognized and valued.

As a Chase Wealth Management Supervisory Manager in the CWM Field Supervisory team, you will lead a team responsible for conducting thorough active account and Advisor book reviews.

You will play a crucial role in ensuring high-quality work and adapting to the changing regulatory environment.

Your efforts will help us identify trends and opportunities, driving impactful solutions for our clients and business.

You will interface with senior leadership, develop subject matter expertise, and contribute to the continuous improvement of our processes and systems.

Job Responsibilities:



* Monitor and analyze active account and book reviews to ensure compliance and optimize client investment strategies.


* Ensure team members understand their responsibilities and adapt to regulatory changes, maintaining high-quality work standards.


* Identify and resolve issues, risks, and exposures, collaborating with senior leadership to implement solutions and align strategies.


* Develop and refine rules based on prior findings to enhance system logic for risk-based reviews.


* Review, draft, and update desktop procedures, effectively communicating changes to the team.


* Develop expertise in securities rules and regulations through research and training.


* Collaborate with the Sales Practice Review team to escalate potential issues to the Disciplinary Action Forum.


* Conduct Advisor book reviews to identify trends or patterns that may impact multiple customers.


* Identify and escalate potential issues to appropriate parties for further action.


* Create and present detailed reports to senior management, providing insights and recommendations.


* Understand new investment products, compensation plans, and firm-wide policies to conduct comprehensive reviews.

Required Qualifications, Capabilities, and Skills:


* Bachelor's degree in Finance, Accounting, Business Administration, or related field.


* Five years of experience in the securities and investment industry, demonstrating a strong understanding of industry practices.


* Valid and active Series 7, 9/10 (or 4, 24, and 53), 66 (or 63/65) FINRA licenses, ensuring compliance with industry standards.


* Valid and active Life, Health, and Long Term Care Insurance license, or mu...