Senior Wealth Management Supervisory Leader

JPMorgan Chase & Co.; San Francisco (CA); On-site; USD 140,000 - 190,000; Full time

Job summary

J.P. Morgan Wealth Management is seeking a Supervisory Manager to oversee a team of Financial Advisors in the San Francisco area. You will apply leadership and risk-management expertise to manage complex, high-risk escalations end-to-end and engage executive stakeholders.

Responsibilities include monitoring account reviews and staff productivity, ensuring regulatory compliance, updating procedures, and developing expertise in securities rules. Travel up to 50% is required.

Qualifications

• Minimum of 5 years in a principal capacity with 2 years in securities supervision.
• Proficient knowledge of regulations, BI requirements, fiduciary oversight.
• FINRA Series 7 and Series 66 (63/65) or 9/10 (4,24,53) plus Life & Health licenses; within 120 days.
• Strong communication, leadership, and risk assessment skills.
• Willingness to travel 50%.

Responsibilities

• Monitor progress of active account reviews and staff productivity.
• Identify issues and escalate to senior leadership.
• Ensure team understands responsibilities amid regulatory changes.
• Understand and refine risk-based review rules.
• Update desktop procedures and communicate changes.
• Develop expertise in securities rules through training.
• Implement account reviews to monitor investment suitability.
• Review Advisor books to spot trends needing review.
• Identify and elevate potential issues to appropriate parties.
• Collaborate with Sales Practice Review to elevate issues to forum.
• Supervise staff development, performance evaluations, and recruiting.

Skills

Regulatory compliance

Supervisory experience

Risk management

Communication skills

Regulatory knowledge (FINRA/SEC)

Analytical thinking

Client/advisor interaction

Education

Bachelor’s Degree preferred

Job description

J.P. Morgan Wealth Management is seeking a Supervisory Manager to oversee a team of Financial Advisors in the San Francisco area. You will apply leadership and risk-management expertise to manage complex, high-risk escalations end-to-end and engage executive stakeholders.

Responsibilities include monitoring account reviews and staff productivity, ensuring regulatory compliance, updating procedures, and developing expertise in securities rules. Travel up to 50% is required.