Senior Wealth Management Compliance & Risk Leader

Testing Site - JPMC; Atlanta (GA); In loco; USD 120.000 - 160.000; Tempo pieno

Descrizione del lavoro

J.P. Morgan Wealth Management is seeking a Supervisory Manager to oversee a territory of Financial Advisors, escalate high-risk issues, and ensure regulatory compliance across client accounts.

The role requires at least 5 years in a principal capacity, FINRA licenses, and the ability to travel up to 50%. You will lead staff, conduct reviews, and engage with senior leadership to remediate issues, while applying firm-wide policies and regulatory requirements.

Competenze

• Minimum of 5 years in a principal capacity and 2 years in securities supervision, compliance, or risk in retail investments.
• Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies.
• Eagerness to engage directly with clients and advisors.
• 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. Additional licensing requirements must be met within 120 days of hire.
• Competent knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
• Strong critical thinking, analytical research, and quantitative skills with the ability to provide clear, concise, and timely resolution to issues.
• Ability to travel 50% of the time.

Mansioni

• Monitor and analyze the progress of active account and book reviews, as well as staff productivity.
• Identify opportunities to address issues, risks, and exposures, and engage senior leadership to take action on identified issues.
• Ensure the team fully understands their responsibilities to perform high-quality work and adapt to the changing regulatory environment.
• Comprehend system logic used in conducting risk-based reviews and further develop and refine rules based on prior findings.
• Review, draft, or update desktop procedures as needed, and effectively communicate changes to team members.
• Develop subject matter expertise in securities rules and regulations through knowledge acquisition, research, and training.
• Implement account reviews to monitor the ongoing suitability of investments and activities in client accounts.
• Conduct Advisor book reviews to identify trends or patterns requiring further review that may impact multiple customers.
• Identify and escalate potential issues to appropriate parties for further action.
• Collaborate with the Sales Practice Review team to escalate potential issues to the Disciplinary Action Forum.
• Supervise the development and mentoring of staff at varying levels of expertise; assess staff performance; prepare and deliver performance evaluations; and participate in recruiting, interviewing, retaining, and recommending pay actions for staff.

Conoscenze

Licenses: FINRA Series 7

Licenses: FINRA Series 66/63/65

Licenses: 9/10 (4,24,53)

Client engagement

Regulatory knowledge

Analytical reasoning

Communication skills

Leadership & mentorship

Formazione

Bachelor’s Degree preferred

Descrizione del lavoro

J.P. Morgan Wealth Management is seeking a Supervisory Manager to oversee a territory of Financial Advisors, escalate high-risk issues, and ensure regulatory compliance across client accounts.

The role requires at least 5 years in a principal capacity, FINRA licenses, and the ability to travel up to 50%. You will lead staff, conduct reviews, and engage with senior leadership to remediate issues, while applying firm-wide policies and regulatory requirements.