JPMorgan Chase Chase Wealth Management - Supervision Analyst II - Supervision and Sales Management in Westerville, Ohio
AssistSupervision Management in identifying and escalating potential areas ofrisk.
Identifyopportunities to simplify and improve the quality, content and format ofinitiatives; includes proactive interaction with other departments andlines of business to define suitability requirements, business needs,technology requirements and implement solutions.
Understandexisting and planned CWM systems and platforms and participate in the newbusiness initiatives process to evaluate new technology roll-outs andidentify potential risk.
Testing ofnew and existing supervisory controls prior to implementation and on anon-going basis
Define andevaluate metrics to measure trends and potential risk.
Partner withCWM business units including Information Technology, Operations, Legal,Risk, Compliance and the Sales Field.
Assist inevaluating supervisory transaction reviews in a quality assurance capacity.
Assist inworking with Controls team to evaluate Risk & Control Self Assessments(RCSAs).
Otherprojects and tasks as assigned by Supervision Management.
FINRA Series7 and 9/10 minimum licensing requirement in order to be considered
FINRA Series66 (or 63 and 65)in addition to Life Insurance license required within 90days
FINRA Series24, 53 and 4 may replace the requirements for Series 9/10
BachelorDegree preferred. (BA/BS) Preferably in Finance, Accounting, Mathematicsor Business.
3-5 years ofexperience in supervision, risk management, or operations, in the financialsector, preferably with a broker-dealer or wealth management business.
In-depthunderstanding of business technologies with a focus on broker-dealer andwealth management systems in the financial services industry
Stronganalytical and problem solving skills.
Ability todevelop compelling analytical reporting and presentations.
Ability tobuild and maintain relationships across the wider firm.
Detail-orientedand ability to work independently.
Provenability to work in a dynamic team environment.
Strongcomputer skills: Excel, PowerPoint, Word, Access.
JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.