Private Bank Oversight Lead — Wealth Management

Testing Site - JPMC; San Diego (CA); On-site; USD 140,000 - 190,000; Full time

Job summary

J.P. Morgan is seeking a Private Bank Supervisory Manager in Asset & Wealth Management to coordinate with Market Leadership and oversee high-risk escalations from end-to-end.

You will manage complex investigations, lead meetings, and liaison with compliance, registration, and executive stakeholders. The role requires FINRA licenses, extensive securities supervision experience, and strong communication skills to operate across leadership levels.

Qualifications

• 7+ years of experience with supervision of securities / investment industry.
• Licenses required to perform all job duties: FINRA SIE, Series 7, 66 (63/65), 9/10 (4,24,53)
• A valid Series 4 is required or must be obtained within 90 days of starting in the role as a condition of employment
• Ability to provide clear, concise, and timely resolution to issues.
• Proven judgement and problem-resolution skills; comfortable making decisions independently and dealing with conflict in high stress situations
• Strong written and verbal communications skills, including an ability to communicate with all levels of leadership and Market colleagues
• Possess excellent time management, organization and follow up skills
• Bachelor’s Degree preferred

Responsibilities

• Coordinate and lead monthly meeting with Market Manager. This includes preparing and presenting key findings and overview of activities in prior month
• Participate in Market Leadership meetings and join Market Team calls.Interact with employees in the market to address questions and take action to resolve
• Coordinate with employees, management and Registration department on changes to employee registration profile including U4 amendments
• Train new hires and existing employees on procedures or specific topics as needed
• Coordinate with Central Supervision, address suitability concerns, review customized client materials, and act as a liaison for issue resolution. Review and resolve compliance surveillance inquiries
• Provide principal approval for brokerage trade corrections. Review and action brokerage account maintenance requests (i.e. options, margin, QIB)
• Perform oversight of incoming correspondence, checks, and securities. Review trends and patterns of escalated email violations.
• Provide pre-approval of suitability for accounts to participate in alternative investments; review and determine account eligibility for Initial Equity Public Offerings
• Act as error escalation contact for investment related errors. This includes reviewing and correcting error as well as completing escalation and reporting
• Act as complaint escalation contact, review circumstance to determine possible complaint, submit to firm wide complaint reporting tool, and coordinate with complaint response team for appropriate resolution
• Act as liaison for annual compliance branch exam. Work with Market Manager to address any remediation needed

Skills

Leadership

Communication

Supervision

Risk & Compliance

Analytical skills

Time management

Education

Bachelor’s Degree

Job description

J.P. Morgan is seeking a Private Bank Supervisory Manager in Asset & Wealth Management to coordinate with Market Leadership and oversee high-risk escalations from end-to-end.

You will manage complex investigations, lead meetings, and liaison with compliance, registration, and executive stakeholders. The role requires FINRA licenses, extensive securities supervision experience, and strong communication skills to operate across leadership levels.