J.P. Morgan Wealth Management - Vice President - Supervisory Manager - Houston, TX

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 in Chase Wealth Management oversees a territory of Financial Advisors, managing complex, high-risk escalations and engaging senior leadership on identified issues.

Responsibilities

• Monitor and analyze the progress of active account and book reviews, and staff productivity.
• Identify and address issues, risks, and exposures, and engage senior leadership for corrective action.
• Ensure the team fully understands their responsibilities and adapts to the evolving regulatory environment.
• Develop and refine rules based on prior findings and implement account reviews to monitor investment suitability.
• Conduct Advisor book reviews to identify trends or patterns requiring further review.
• Escalate potential issues to appropriate parties and collaborate with the Sales Practice Review team.
• Supervise the development and mentoring of staff at varying levels of expertise, assess performance, and prepare performance evaluations.
• Participate in recruiting, interviewing, retaining, and recommending pay actions for staff.

Requirements

• Minimum of 5 years of experience in a principal capacity and 2 years in securities investment industry supervision, compliance, or risk capacity.
• Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies.
• Eagerness to engage directly with clients and advisors.
• Hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). Appropriate State Life & Health Insurance license.
• Advanced knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
• Strong critical thinking, analytical research, and quantitative skills with the ability to provide clear, concise, and timely resolutions.
• Excellent written and verbal communication skills, including the ability to communicate with all levels of management.
• Exceptional time management, risk analysis, proven judgment, problem-resolution, and decision-making 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.
• Ability to travel 50% of the time.

Skills

• Competent knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
• Strong critical thinking, analytical research, and quantitative skills.
• Excellent written and verbal communication skills.
• Exceptional time management, risk analysis, proven judgment, problem-resolution, and decision-making 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.
• Ability to travel 50% of the time.

Benefits

Includes comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching, and more. Details about total compensation and benefits will be provided during the hiring process.

Pay

Base salary determined based on the role, experience, skill set, and location. Commission-based pay and/or discretionary incentive compensation may also be awarded.

Schedule

Position requires 50% travel.