Senior Wealth Management Supervisor - Risk & Compliance

JPMorgan Chase & Co.; New York (NY); Vor Ort; USD 150.000 - 190.000; Vollzeit

Benefits dieser Stelle

Travel opportunities

Zusammenfassung

JPMorgan Chase & Co. is seeking a Supervisory Manager in Chase Wealth Management to lead a team of Financial Advisors and oversee end-to-end risk reviews. You will manage complex escalations, ensure regulatory compliance, and collaborate with senior leaders to implement corrective actions.

The role requires strong leadership, risk analysis, and a deep understanding of securities rules, with travel up to 50% and licensing requirements to be met within 120 days of hire.

Qualifikationen

• Minimum 5 years in a principal capacity and 2 years in securities supervision, compliance, or risk in retail investments.
• Strong knowledge of fiduciary oversight and financial planning strategies.
• Licensing: FINRA Series 7 and Series 66/63/65 or 9/10 and Life & Health licenses with internal approvals.

Aufgaben

• Oversee a territory of Financial Advisors and supervise complex, high-risk escalations.
• Monitor staff productivity and conduct performance evaluations.
• Engage senior leadership to address identified issues and regulatory changes.
• Develop subject matter expertise in securities rules and regulations through training.
• Review desktop procedures and communicate updates to the team.
• Conduct advisor book reviews to identify trends impacting multiple clients.

Kenntnisse

Leadership

Risk management

Regulatory knowledge

Communication

Time management

Analytical skills

Client/advisor engagement

Ausbildung

Bachelor's Degree

Tools

Regulatory frameworks

Jobbeschreibung

JPMorgan Chase & Co. is seeking a Supervisory Manager in Chase Wealth Management to lead a team of Financial Advisors and oversee end-to-end risk reviews. You will manage complex escalations, ensure regulatory compliance, and collaborate with senior leaders to implement corrective actions.

The role requires strong leadership, risk analysis, and a deep understanding of securities rules, with travel up to 50% and licensing requirements to be met within 120 days of hire.