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 the Supervisory Manager you will exhibit leadership and operational expertise when executing designated supervisory duties on behalf of the Broker-Dealer. Responsible for managing complex, high risk escalations from end-to-end and outreach to the field and executive level stakeholders.
Job Responsibilities
Ensure effective resolution of e-communication and transaction-related inquiriesManage trade correction reviews and approvalsReview and approve all incoming and outgoing correspondence across multiple lines of businessStrategically partner with Field ManagementLead and implement business and firm-wide initiativesEnsure day-to-day supervisory aspects of the business are functioningEnsure timely and effective responses to Compliance, Supervision and Audit ExaminationsPartner with Field Management in the supervision of registered personnelProject work and additional tasks as assigned by Central Supervision ManagementEscalate supervisory issues as necessary, providing relevant recommendations as to appropriate actions to be takenStrategically partner with Supervisory Managers or registered personnel in the field to resolve exceptionsResponsible for additional tasks as assigned by Central Supervision ManagementAssume responsibility for reviewing specific work items that have been escalated internally by employees at various levels.Conduct training of newly hired team membersIdentify process improvements and help drive changeResponsible for influencing, clearly articulating, and aligning stakeholders to final resolution.
Required qualifications capabilities and skills
Has a deep understanding and experience of advisory services and a multitude of products and complex client accounts. Also possesses Working knowledge of the US financial regulation framework including applicable FINRA rules. Additionally, has a knowledge and understanding of risk management.Ability to work independently and make sound, risk-based decisions based on firm policyDemonstrates strong research, analytical and problem-solving skills that leads to the ability to analyze trends and patterns; identify and implements improvements or enhancementsAbility to collaborate across multiple levels of supervision with strong interpersonal, verbal, & written communication skills while strong organization skills & attention to detailProven ability to work in a dynamic team environment that is consistently evolvingStrong time management skills in order to meet service level agreements and/or project deadlinesActive 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. 7+ years in the securities and investment industry
Preferred qualifications, capabilities, and skills
Retail brokerage and/or annuity experience strongly preferred Bachelor’s Degree preferred