JPMorgan Chase Supervision Officer - Chase Wealth Management Central Supervision in Columbus, Ohio
Within Chase, Chase Wealth Management encompasses our Chase Private Client (CPC) and Chase Investment Services businesses. Through a dedicated team of a banker and J.P. Morgan Advisor, Chase Private Client brings our affluent clients concierge banking from Chase and access to the investment expertise from J.P. Morgan. Chase Investment Services provides investment solutions to a broad range of Chase customers through Chase Investment Advisors.
As a Chase employee, you will be part of a company that makes a real difference every day for our customers, our communities and ourselves. With a focus on customer service, you will put others first, do what is right and create solutions that make lives better. We invite you to build your career on our strong foundation and help shape what is next for you and for us.
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, document, and decision trades flagged as exceptions for suitabilityin accordance with FINRA rules and industry regulations
Reviewand assess suitability associated with select new accounts and/or products
Escalatesupervisory issues as necessary to Supervisory Managers in the field, providingrelevant recommendations as to appropriate actions to be taken
Partnerwith Supervisory Managers in the field to help them resolve exceptions in atimely manner
Reviewinbound & outbound flagged and/or unflagged e-mails to ensure the contentof electronic communications are appropriate and meet regulatory standards
Conductoutbound Quality Assurance calls to clients to verify understanding of therisks and fees associated with certain types of securities transactions
Projectwork and additional tasks as assigned by Central Supervision Management
Stronginterpersonal, verbal, & written communication skills
Goodorganization skills & attention to detail
Goodresearch, analytical and problem solving skills
Computer/navigational skills (Microsoft Office)
Effectivetime management skills in order to meet service level agreements and/or projectdeadlines
At least one tothree years of experience in the securities/investment industry required
Retail brokerageand/or annuity experience strongly preferred
Proven ability towork in a dynamic team environment that is consistently evolving
FINRA Series 7minimum licensing requirement in order to be considered
FINRA Series 9,10, 66 (or 63 and 65), and Ohio Life Insurance license required within aspecified time frame
FINRA Series 24,53 and 4 may replace the requirements for Series 9 and 10
JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.