VP, Central Supervisory & Compliance Leader

Testing Site - JPMC; Columbus (OH); On-site; USD 120,000 - 180,000; Full time

Job summary

Testing Site - JPMC in Columbus seeks a Central Supervisory Manager to oversee regulatory obligations, risk management, and supervision within Wealth Management. Lead with a focus on compliance and client outcomes while leveraging technology and collaboration.

The role emphasizes governance across asset classes, strong problem-solving, and the ability to guide teams through evolving regulatory requirements to protect clients and the firm.

Qualifications

• 7 years of relevant experience in the financial securities/investment industry.
• 5 years of experience in a supervision, compliance, surveillance, operations, or control capacity.
• FINRA Series 7 and one or more of the following licenses: Series 66, 9/10, or 4,24,53; additional licenses required within 120 days.

Responsibilities

• Review next-day trades for FINRA rule and regulatory compliance alignment.
• Evaluate and document trades flagged as suitability exceptions.
• Assess suitability of select new accounts and products.
• Escalate supervisory issues with actionable recommendations.
• Collaborate with Field Supervisory Managers to resolve exceptions promptly.
• Conduct training for newly hired Central Supervisory Associates.
• Identify and drive process improvements and change initiatives.
• Participate in project work and additional tasks as assigned.

Skills

Regulatory compliance

FINRA background

Trade surveillance

Risk assessment

Leadership

Education

Bachelor's degree

Job description

Testing Site - JPMC in Columbus seeks a Central Supervisory Manager to oversee regulatory obligations, risk management, and supervision within Wealth Management. Lead with a focus on compliance and client outcomes while leveraging technology and collaboration.

The role emphasizes governance across asset classes, strong problem-solving, and the ability to guide teams through evolving regulatory requirements to protect clients and the firm.