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

About the role

J.P. Morgan Wealth Management provides individuals, advisors, and institutions with strategies and expertise across various asset classes through its global network of investment professionals. The Supervisory Manager role involves conducting suitability reviews on a variety of Brokerage and Managed Account transactions, escalating supervisory issues, and partnering with supervisors to resolve exceptions.

Responsibilities

• Conduct suitability reviews for a range of Brokerage and Managed Account transactions.
• Escalate supervisory issues as necessary, providing relevant recommendations for appropriate actions.
• Partner with Supervisory Managers or registered personnel to resolve exceptions.
• Influence process improvements and promote change.
• Clearly articulate and align stakeholders to final resolution.

Requirements

• 7+ years of experience in the securities/investment industry.
• Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53).
• Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
• Ability to provide clear, concise, and timely resolution to issues.
• Demonstrate strong critical thinking, analytical research, and quantitative skills.
• Strong written and verbal communications skills, including the ability to communicate with all levels of management.
• Possess excellent time management skills.
• Proven judgment and problem-resolution skills.
• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Preferred Qualifications

• Bachelor's Degree preferred.
• Experience as a Supervisory or Compliance professional preferred.
• Possess an advanced knowledge of FINRA, MSRB, and SEC rules and regulations.
• Experience working in an environment alongside Advisors preferred.
• State Life & Health Insurance license a plus, but not required.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

Chase offers a competitive total rewards package, including base salary determined based on the role, experience, skill set, and location. Eligible employees may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity. Additional details about total compensation and benefits will be provided during the hiring process.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule

N/A

Qualifications

See above.

Skills

• Ability to understand new investment products, Advisor/Banker compensation plans, firm-wide policies, and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information to conduct reviews.

Benefits

See above.

Pay

Commensurate with experience.

Schedule