Private Bank Supervisory Lead – Risk & Compliance

Testing Site - JPMC; New York (NY); On-site; USD 140,000 - 240,000; Full time

Job summary

J.P. Morgan Private Bank is seeking an experienced Private Bank Supervisory Manager in Asset & Wealth Management to oversee complex, high-risk escalations from end-to-end and coordinate with executive stakeholders.

The role emphasizes robust compliance, timely issue-resolution, and leadership across Market teams. Responsibilities include leading monthly Market Manager meetings, coordinating with Registration on profile changes, training staff, and serving as a liaison for compliance exams and

Qualifications

• 7+ years of experience with supervision of securities/investment industry.
• Licenses required: FINRA SIE, Series 7, 66 (63/65), 9/10 (4,24,53).
• 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; strong judgement and problem-resolution skills.
• Strong written and verbal communications skills; ability to communicate with all levels of leadership and Market colleagues.
• Excellent time management, organization and follow up skills.

Responsibilities

• Coordinate and lead monthly meeting with Market Manager and present key findings.
• Participate in Market Leadership meetings and join Market Team calls; address questions and take action to resolve.
• Coordinate with Registration on changes to employee registration profiles including U4 amendments.
• Train new hires and existing employees on procedures or topics as needed.
• Coordinate with Central Supervision on compliance issues and review surveillance inquiries.
• Provide principal approval for brokerage trade corrections and review account maintenance requests.
• Oversee incoming correspondence, checks, and securities; review trends in escalated email violations.
• Act as liaison for annual compliance branch exams and remediation with Market Manager.

Skills

Leadership

Regulatory knowledge

Analytical thinking

Communication

Education

Bachelor's degree

Job description

J.P. Morgan Private Bank is seeking an experienced Private Bank Supervisory Manager in Asset & Wealth Management to oversee complex, high-risk escalations from end-to-end and coordinate with executive stakeholders.

The role emphasizes robust compliance, timely issue-resolution, and leadership across Market teams. Responsibilities include leading monthly Market Manager meetings, coordinating with Registration on profile changes, training staff, and serving as a liaison for compliance exams and