Senior Annuity & Insurance Compliance Lead

JPMorganChase; Columbus (OH); Sur place; USD 95 000 - 150 000; Plein temps

Avantages offerts par ce poste

Comprehensive health care coverage

Retirement savings plan

Tuition reimbursement

Mental health support

Résumé du poste

JPMorgan Chase is seeking a Central Supervisory Manager to ensure suitability and compliance of annuity and insurance offerings. You will lead reviews, train staff, and drive process improvements while collaborating with field Supervisory Managers and registered personnel.

The role requires a strong background in the securities industry, deep regulatory knowledge, and proven decision-making abilities. This position supports the Central Supervision team and aligns with Chase's commitment to

Qualifications

• Minimum 7 years of experience in the securities and investment industry.
• Deep understanding of advisory services, products, and complex client accounts.
• Working knowledge of US financial regulations, including FINRA rules.
• Proven ability to make sound, risk-based decisions independently.
• Strong research, analytical, and problem-solving skills.
• Excellent interpersonal, verbal, and written communication skills.
• Ability to collaborate across multiple levels of supervision.
• Active FINRA Series 7 license.
• Active FINRA Series 66 (or 63 and 65), 9/10 (or 4, 24, 53), and State Life & Health Insurance license, or ability to obtain within 120 days of hire.
• Strong organization skills and attention to detail.
• Demonstrated ability to work in a dynamic, evolving team environment.

Responsabilités

• Conduct suitability reviews for a variety of annuity and insurance products
• Escalate supervisory issues and recommend appropriate actions
• Partner strategically with field Supervisory Managers and registered personnel to resolve exceptions
• Review work items escalated internally by junior team members
• Deliver training to newly hired team members
• Identify and drive process improvements
• Influence stakeholders and align them to final resolutions
• Complete project work and additional tasks as assigned
• Articulate findings and recommendations clearly to management
• Maintain strong organization and attention to detail
• Meet service level agreements and project deadlines through effective time management

Connaissances

Analytical thinking

Problem solving

Communication skills

Interpersonal skills

Team collaboration

Formation

Bachelor's degree

Outils

FINRA Series 7 license

FINRA Series 66/63/65

State Life & Health Insurance license

Description du poste

JPMorgan Chase is seeking a Central Supervisory Manager to ensure suitability and compliance of annuity and insurance offerings. You will lead reviews, train staff, and drive process improvements while collaborating with field Supervisory Managers and registered personnel.

The role requires a strong background in the securities industry, deep regulatory knowledge, and proven decision-making abilities. This position supports the Central Supervision team and aligns with Chase's commitment to