J.P. Morgan Wealth Management - Vice President - Supervisory Manager - Denver, CO - JPMorgan Chase Bank, N.A.
Denver, CO 80201
About the Job
As a Supervisory Manager in Chase Wealth Management, you will exhibit leadership and operational expertise when performing designated supervisory duties to oversee a territory of Financial Advisors. You will be responsible for managing complex, high risk escalations from end-to-end and outreach to executive level stakeholders.
Job responsibilities
- Monitor and analyze progress of active account and book reviews as well as monitor staff productivity
- Recognize opportunities for addressing issues, risks and exposures. Engage line of business senior leadership to action identified issues
- Ensure team's complete understanding of their responsibilities in order to perform high quality work and able to adapt to the changing regulatory environment
- Understand system logic used in conducting risk based reviews. Further develop and refine the rules based on prior findings
- Review, draft or update desktop procedures as required. Effectively communicate changes to team members
- Develop subject matter expertise of securities rules and regulations through knowledge, research and training
- Develop and implement account reviews for the purposes of monitoring for ongoing suitability of the investments and activity in a client's account
- Conduct Advisor book reviews to identify any trends or patterns requiring further review that may have impact to more than one customer
- Identify and escalate potential issues to the appropriate parties on matters requiring further action
- Work with the Sales Practice Review team to escalate potential issues to the Disciplinary Action Forum
- Supervise the development and mentoring of staff at varying levels of expertise; assesses performance of staff; prepare and deliver performance evaluations; and participate in recruiting, interviewing, retaining and recommending pay actions for staff
Required qualifications, capabilities, and skills
- 7+ years of experience in the securities / investment industry
- Licenses required to perform all job duties associated with the role: FINRA Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license
- Minimum licensing requirement: 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. Additional licensing requirements must be met within 120 days of hire.
- 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 an 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, capabilities, and skills
- 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
JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include 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. Additional details about total compensation and benefits will be provided during the hiring process.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
JPMorgan Chase is an Equal Opportunity Employer, including Disability/Veterans