Senior Wealth Management Supervisory Leader

Aumni; United States; On-site; USD 120,000 - 180,000; Full time

Job summary

JPMorgan Chase Wealth Management seeks a Supervisory Manager to oversee a territory of Financial Advisors, handling high-risk escalations and executive outreach. You’ll monitor book reviews, ensure regulatory alignment, and drive risk controls across the team.

Responsibilities include reviewing procedures, developing expertise in securities rules, and mentoring staff while collaborating with leadership. Extensive travel and licensing requirements apply within the retail investment space.

Qualifications

• Minimum of 5 years of experience in a principal capacity and 2 years of experience within the securities investment industry supervision, compliance, or risk capacity, 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.
• 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.
• Excellent written and verbal communication skills, including the ability to communicate with all levels of management.
• Exceptional time management, risk analysis, proven judgment, problem-resolution and decision-making skills.
• Ability to understand new investment products, Advisor/Banker compensation plans, and firm-wide policies and procedures to conduct reviews.

Responsibilities

• 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 elevate potential issues to appropriate parties for further action.
• Collaborate with the Sales Practice Review team to cascade 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.

Skills

Regulatory knowledge

BI requirements

Communication skills

Leadership

Education

Bachelor’s Degree preferred

Job description

JPMorgan Chase Wealth Management seeks a Supervisory Manager to oversee a territory of Financial Advisors, handling high-risk escalations and executive outreach. You’ll monitor book reviews, ensure regulatory alignment, and drive risk controls across the team.

Responsibilities include reviewing procedures, developing expertise in securities rules, and mentoring staff while collaborating with leadership. Extensive travel and licensing requirements apply within the retail investment space.