Senior Wealth Risk & Compliance Supervisor

JPMorganChase; Belmont (CA); On-site; USD 80,000 - 120,000; Full time

Benefits offered by this job

Comprehensive health care coverage

Retirement savings plan

Tuition reimbursement

Mental health support

Financial coaching

Job summary

A leading financial services firm in California seeks a professional for a wealthy management position focused on client engagement, compliance, and oversight. The role involves monitoring account activities, identifying risks in investments, and maintaining communication with clients and senior leadership. Candidates should have 5+ years of relevant experience and hold necessary FINRA licenses. Expect a dynamic work environment aimed at developing strong relationships and providing valuable financial insights.

Qualifications

• Minimum of 5 years in a principal capacity in securities supervision.
• Proficient in securities rules, fiduciary oversight, and financial planning.
• Must hold FINRA Series 7 and relevant licenses.

Responsibilities

• Monitor active account reviews and staff productivity.
• Identify and escalate issues to senior leadership.
• Conduct risk-based reviews and update procedures.

Skills

Critical thinking

Analytical research

Written communication

Verbal communication

Time management

Relationship building

Problem-solving

Education

Bachelor’s Degree

Job description

A leading financial services firm in California seeks a professional for a wealthy management position focused on client engagement, compliance, and oversight. The role involves monitoring account activities, identifying risks in investments, and maintaining communication with clients and senior leadership. Candidates should have 5+ years of relevant experience and hold necessary FINRA licenses. Expect a dynamic work environment aimed at developing strong relationships and providing valuable financial insights.