Senior Annuity & Insurance Compliance Leader

JPMorgan Chase; Tempe (AZ); Sur place; USD 110 000 - 150 000; Plein temps

Résumé du poste

JPMorgan Chase is seeking a Central Supervisory Manager in the Asset & Wealth Management group to ensure suitability and compliance of annuity and insurance products. You will collaborate across the organization to resolve supervisory issues and drive process improvements, train new team members, and deliver clear recommendations to management.

You will train staff, lead projects, and influence stakeholders while maintaining high attention to detail in a fast-paced, evolving environment.

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.
• Active and valid FINRA Series 7 license.
• Active and valid 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.

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

FINRA Series 7

FINRA Series 66

Life & Health License

Regulatory Knowledge

Analytical Skills

Communication Skills

Formation

Bachelor’s degree

Description du poste

JPMorgan Chase is seeking a Central Supervisory Manager in the Asset & Wealth Management group to ensure suitability and compliance of annuity and insurance products. You will collaborate across the organization to resolve supervisory issues and drive process improvements, train new team members, and deliver clear recommendations to management.

You will train staff, lead projects, and influence stakeholders while maintaining high attention to detail in a fast-paced, evolving environment.