JPMorgan Chase Supervisory Manager - Chase Wealth Management - Plano, TX in Westerville, Ohio
The Supervisory Manager will closely partner with the Market Director and be expected to manage all day-to-day administrative, supervisory, and operational aspects for the business in order to achieve our strategic objectives for a designated territory.
Key Responsibilities include:
FINRA designated Supervisor for Advisors in supported region
Strategically partner with Market Director to lead and develop supported region
Lead and implement business and firm-wide initiatives (ex. Document Integrity, FINRA changes, etc)
Ensure day-to-day Operational, Compliance and Supervisory aspects of the business are functioning
Oversee and manage outstanding licensing requirements in supported region
Ensure timely and effective responses to Compliance, Supervision and Audit Examinations on a priority basis
Ensure effective execution of e-mail reviews and Monthly Account Reviews
Address and resolve escalated supervisory issues
Follow-up on any concerns that arise from pre-hire compliance checks
Manage all trade corrections
Review and approve any outside business activities
Assist in of the resolution of customer complaints
Chase Wealth Management is part of a 200-year tradition of helping clients pursue their unique financial goals. By truly getting to know and understand our clients, our trusted network of more than 3,000 Advisors provide exceptional service, customized wealth management solutions and a range of investment strategies to help clients meet their needs and long-term objectives.
Chase Wealth Management serves nearly two million clients through two distinct but integrated businesses, Chase Private Client and Chase Investments.
Chase Private Client offers the best of Chase banking combined with the investment expertise of J.P. Morgan. Through a dedicated Banker and Advisor team located in select Chase branches, Private Clients receive the highest level of personal attention, premium banking products and services, and exclusive access to J.P. Morgan's investment resources and capabilities. Learn more about Chase Private Client at www.chase.com/privateclient
Chase Investments offers traditional investment strategies to Chase customers nationwide-one in every six Americans-to help them build wealth and plan for important life events such as retirement and funding a college education. Learn more about Chase Investments at www.chase.com/investments
"Chase Private Client" is the marketing name for a business within JPMorgan Chase & Co. and its subsidiaries.
Bank products and services are offered through JPMorgan Chase Bank, N.A. and its affiliates. Securities are offered by J.P. Morgan Securities LLC member FINRA, NYSE and SIPC. J.P. Morgan Securities LLC is an affiliate of JPMorgan Chase Bank, N.A.
5+ years relevant supervisory experience in brokerage operations, supervision, compliance; prefer direct supervisory management experience of Advisors
Bachelor Degree required
Broad knowledge base and experience in Financial Services with extensive understanding of regulatory markets
Strong controls experience and background
Leadership, communication and influencing skills to drive change
Excellent presentation skills, effective written and verbal communication skills; must be comfortable dealing with senior management
FINRA Series 7, 9/10 (or equivalent) and 66 (or equivalent) required in addition to meeting FINRA continuing education requirements
Ability to travel 10% of the time. This position will report to the Regional Supervisory Manager.
JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.