Senior Wealth Management Supervisory Leader

JPMorganChase; Irvine (CA); Sur place; USD 180 000 - 240 000; Plein temps

Résumé du poste

JPMorganChase in Irvine, CA seeks a Supervisory Manager in Chase Wealth Management to oversee a territory of Financial Advisors. You will manage complex, high-risk escalations end-to-end and engage executive stakeholders to drive timely actions.

The role demands deep knowledge of securities rules, regulatory requirements, and risk-based reviews, with leadership responsibilities for staff development. The position requires 5+ years in a principal capacity and 2+ years in supervision, FINRA

Qualifications

• 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.
• Must hold FINRA Series 7 and one or more of the following licenses: Series 66 (63/65), 9/10 (4,24,53); appropriate State Life & Health Insurance license; additional licenses within 120 days of hire.
• Strong communication, leadership, and risk analysis skills.
• Ability to travel 50% of the time.

Responsabilités

• Monitor progress of active account and book reviews and 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 elevate potential issues to appropriate parties for further action.
• Collaborate with the Sales Practice Review team to elevate 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.

Connaissances

Regulatory compliance

Client relationship management

Leadership

Risk analysis

Communication skills

FINRA licensing knowledge

Formation

Bachelor's degree preferred

Description du poste

JPMorganChase in Irvine, CA seeks a Supervisory Manager in Chase Wealth Management to oversee a territory of Financial Advisors. You will manage complex, high-risk escalations end-to-end and engage executive stakeholders to drive timely actions.

The role demands deep knowledge of securities rules, regulatory requirements, and risk-based reviews, with leadership responsibilities for staff development. The position requires 5+ years in a principal capacity and 2+ years in supervision, FINRA