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 Vice President Supervisory Manager in J.P. Morgan Wealth Management, you will be responsible for managing complex, high risk escalations from end-to-end and outreach to the field and executive level stakeholders. You will ensure effective resolution of e-communication and transaction-related inquiries, manage trade correction reviews and approvals, and review and approve all incoming and outgoing correspondence across multiple lines of business.
Job Responsibilities
- Resolve e-communication and transaction-related inquiries effectively, and manage trade correction reviews and approvals.
- Review and approve all incoming and outgoing correspondence across multiple lines of business.
- Partner strategically with Field Management and Supervisory Managers to resolve exceptions and supervise registered personnel.
- Lead and implement business and firm-wide initiatives, overseeing day-to-day supervisory aspects of the business.
- Respond to Compliance, Supervision, and Audit Examination inquiries timely and effectively.
- Undertake project work and additional tasks as assigned by Central Supervision Management, including training newly hired team members.
- Escalate supervisory issues as necessary, providing relevant recommendations for appropriate actions.
- Review specific work items escalated internally by employees at various levels.
- Identify process improvements and drive change.
- Influence, articulate clearly, and align stakeholders to reach a final resolution.
Required qualifications, capabilities, and skills
- 7+ years in the securities and investment industry
- Has a deep understanding and experience of advisory services and a multitude of products and complex client accounts.
- Possesses Working knowledge of the US financial regulation framework including applicable FINRA rules.
- Strong knowledge and understanding of risk management and ability to work independently and make sound, risk-based decisions based on firm policy
- Demonstrates strong research, analytical and problem-solving skills that leads to the ability to analyze trends and patterns; identify and implements improvements or enhancements
- Ability to collaborate across multiple levels of supervision with strong interpersonal, verbal, & written communication skills while strong organization skills & attention to detail
- Proven ability to work in a dynamic team environment that is consistently evolving
Strong time management skills in order to meet service level agreements and/or project deadlines - Active and valid FINRA Series 7 and one or more of the following licenses are required to be considered for the role: FINRA Series 66 (63,65), 9/10 (4,24,53) FINRA Series 7, 66 (63,65), 9/10 (4,24,53), all 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.
Preferred qualifications, capabilities, and skills
- Retail brokerage and/or annuity experience strongly preferred
- Bachelor’s Degree preferred