JPMorgan Chase New Accounts Supervision Officer - Chase Wealth Management Central Supervision in Columbus, Ohio

The Supervision Officer supports Supervisory Managers in the field by executing designated supervisory duties, thereby facilitating standardized oversight and enhanced focus on the investment sales process, while assuring compliance with securities industry regulations and firm policies

Primary responsibilities include:

  • Identify, evaluate and document trades flagged as exceptions for suitability in accordance with FINRA rules and industry regulations

  • Review and assess suitability associated with select new accounts and/or products

  • Escalate supervisory issues as necessary to Supervisory Managers in the field, providing relevant recommendations as to appropriate actions to be taken

  • Partner with Supervisory Managers in the field to help them resolve exceptions in a timely manner

  • Review inbound & outbound flagged and/or unflagged e-mails to ensure the content of electronic communications are appropriate and meet regulatory standards

  • May conduct outbound Quality Assurance calls to clients to verify understanding of the risks and fees associated with certain types of securities transactions

  • Project work and additional tasks as assigned by Central Supervision Management

Skills needed

  • Strong interpersonal, verbal, & written communication skills

  • Good organization skills & attention to detail

  • Good research, analytical and problem solving skills

  • Computer/navigational skills (Microsoft Office)

  • Effective time management skills in order to meet service level agreements and/or project deadlines

Qualifications

At least one to three years of experience in the securities/investment industry required

Retail brokerage and/or annuity experience strongly preferred

Proven ability to work in a dynamic team environment

FINRA Series 7 minimum licensing requirement in order to be considered

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.