Senior Wealth Management Risk & Supervisory Lead

Aumni; Plantation (FL); On-site; USD 100,000 - 140,000; Full time

Job summary

JPMorgan Chase's Chase Wealth Management seeks a Supervisory Manager to oversee a territory of Financial Advisors, manage complex escalations, and ensure regulatory compliance across reviews and processes.

You will lead risk-based reviews, refine rules, and mentor staff while coordinating with executive leadership to implement action plans and policy updates. Travel up to 50% is expected.

Qualifications

• Minimum 5 years in a principal capacity and 2 years in securities supervision, compliance, or risk (retail investments).
• Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies.
• Must hold FINRA Series 7 and Series 66 (63/65) or 9/10 and life/health insurance licensing.
• Strong written and verbal communication, risk analysis and decision-making abilities.
• Willingness to travel 50% of the time.

Responsibilities

• Oversee a territory of Financial Advisors with supervisory duties.
• Manage high-risk escalations end-to-end and engage executive stakeholders.
• Ensure adherence to regulatory changes and team understanding of responsibilities.
• Develop and refine rules for risk-based account reviews and literature updates.
• Mentor staff and participate in recruitment, performance reviews and pay actions.
• Collaborate with Sales Practice Review to elevate issues to the disciplinary forum.

Skills

FINRA licensing knowledge

Regulatory knowledge

Analytical skills

Communication skills

Education

Bachelor’s Degree

Tools

FINRA/MSRB/SEC rules knowledge

Job description

JPMorgan Chase's Chase Wealth Management seeks a Supervisory Manager to oversee a territory of Financial Advisors, manage complex escalations, and ensure regulatory compliance across reviews and processes.

You will lead risk-based reviews, refine rules, and mentor staff while coordinating with executive leadership to implement action plans and policy updates. Travel up to 50% is expected.