Senior Supervisory Manager - Wealth Risk & Compliance

JPMorgan Chase; Irvine (CA); On-site; USD 140,000 - 210,000; Full time

Job summary

JPMorgan Chase is seeking a Supervisory Manager for Chase Wealth Management in Irvine, CA. The role oversees a territory of Financial Advisors, handling high‑risk escalations and executive communication. You will manage reviews, enforce regulatory standards, and mentor staff across levels.

Qualifications include 5+ years in a principal capacity, 2+ years in securities supervision, and FINRA licenses. Travel up to 50% is required; strong leadership and analytical skills are essential.

Qualifications

• Minimum of 5 years of experience in a principal capacity and 2 years of experience within the securities investment industry supervision, compliance, or risk capacity, in retail investments.
• Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies.
• Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). appropriate State Life & Health Insurance license.
• Experience with supervising staff and managing risk in a regulatory environment.

Responsibilities

• Monitor and analyze progress of active account and book reviews, and staff productivity.
• Identify issues, risks, and exposures; engage senior leadership to take action.
• Ensure team understands responsibilities to perform high-quality work and adapt to regulations.
• Develop subject matter expertise in securities rules through research and training.
• Implement account reviews to monitor ongoing suitability of investments and activities.
• Review advisor book reviews to identify trends requiring further review.
• Collaborate with Sales Practice Review and Disciplinary Action Forum.
• Supervise staff development, mentoring, evaluations, and recruiting/pay actions.

Skills

Regulatory knowledge

Fiduciary oversight

Client engagement

Leadership

Analytical skills

Communication skills

FINRA licenses

Education

Bachelor's Degree (preferred)

Job description

JPMorgan Chase is seeking a Supervisory Manager for Chase Wealth Management in Irvine, CA. The role oversees a territory of Financial Advisors, handling high‑risk escalations and executive communication. You will manage reviews, enforce regulatory standards, and mentor staff across levels.

Qualifications include 5+ years in a principal capacity, 2+ years in securities supervision, and FINRA licenses. Travel up to 50% is required; strong leadership and analytical skills are essential.