J.P. Morgan Asset & Wealth Management Global Private Bank - Vice President Supervisory Manager - Tampa, FL

Job Responsibilities

• Cook up and present key findings and overview of activities in prior month
• Participate in Market Leadership meetings and join Market Team calls
• Interact with employees in the market to address questions and take action to resolve
• Coordinate with employees, management and Registration department on changes to employee registration profile including U4 amendments
• Train new hires and existing employees on procedures or specific topics as needed
• Coordinate with Central Supervision, address suitability concerns, review customized client materials, and act as a liaison for issue resolution
• Review and resolve compliance surveillance inquiries
• Provide principal approval for brokerage trade corrections
• Review and action brokerage account maintenance requests (i.e. options, margin, QIB)
• Perform oversight of incoming correspondence, checks, and securities
• Review trends and patterns of escalated email violations
• Provide pre-approval of suitability for accounts to participate in alternative investments; review and determine account eligibility for Initial Equity Public Offerings
• Act as error escalation contact for investment related errors. This includes reviewing and correcting error as well as completing escalation and reporting
• Act as complaint escalation contact, review circumstance to determine possible complaint, submit to firm wide complaint reporting tool, and coordinate with complaint response team for appropriate resolution
• Act as liaison for annual compliance branch exam
• Work with Market Manager to address any remediation needed

Required Qualifications, Capabilities And Skills

• 7+ years of experience with supervision of securities / investment industry
• Licenses required to perform all job duties associated with the role: FINRA SIE, Series 7, 66 (63/65), 9/10 (4,24,53)
• A valid Series 4 is required or must be obtained within 90 days of starting in the role as a condition of employment
• Ability to provide clear, concise, and timely resolution to issues
• Proven judgement and problem-resolution skills; comfortable making decisions independently and dealing with conflict in high stress situations
• Strong critical thinking, analytical research and quantitative skills
• Strong written and verbal communications skills, including an ability to communicate with all levels of leadership and Market colleagues
• Possess excellent time management, organization and follow up skills

Preferred Qualifications, Capabilities And Skills

• Bachelor's Degree preferred
• Experience as a Supervisory, Risk or Compliance professional preferred
• Experience working in an environment alongside Advisors preferred
• Ability to understand new investment products and firm wide policies and procedures