Senior Supervisory Manager — Wealth Management

Aumni; Houston (TX); On-site; USD 120,000 - 160,000; Full time

Job summary

JPMorganChase is seeking a Supervisory Manager in Chase Wealth Management to lead supervisory duties for a territory of Financial Advisors. You will manage complex escalations end-to-end and engage executive-level stakeholders to address issues and improve risk controls.

Responsibilities include monitoring advisor book reviews, developing staff, and guiding regulatory compliance programs while collaborating with cross-functional teams. Willingness to travel up to 50% is required.

Qualifications

• Minimum of 5 years of experience in a principal capacity and 2 years in securities supervision, compliance, or risk within retail investments.
• Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies.
• Eagerness to engage directly with clients and advisors.
• FINRA Series 7 and at least one of Series 66 (63/65), 9/10 (4,24,53) or State Life & Health Insurance license; additional licenses due within 120 days.

Responsibilities

• Monitor and analyze progress of active account and book reviews and staff productivity.
• Identify issues, risks, and exposures; engage senior leadership to action.
• Ensure team understands responsibilities for high-quality work amid regulatory changes.
• Understand system logic for risk-based reviews and refine rules from findings.
• Review/update desktop procedures and communicate changes to team.

Skills

Regulatory knowledge

Client engagement

Analytical thinking

Communication skills

Staff supervision

Risk assessment

Decision making

Education

Bachelor's Degree preferred

Job description

JPMorganChase is seeking a Supervisory Manager in Chase Wealth Management to lead supervisory duties for a territory of Financial Advisors. You will manage complex escalations end-to-end and engage executive-level stakeholders to address issues and improve risk controls.

Responsibilities include monitoring advisor book reviews, developing staff, and guiding regulatory compliance programs while collaborating with cross-functional teams. Willingness to travel up to 50% is required.