VP, Supervisory Manager – Wealth Risk & Compliance

JPMorgan Chase & Co.

Plantation (FL)

On-site

USD 90,000 - 130,000

Full time

6 days ago

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Job summary

J.P. Morgan Wealth Management in the United States is seeking a Supervisory Manager to oversee a territory of Financial Advisors, manage complex, high-risk escalations end-to-end, and ensure adherence to regulatory standards.

You will develop risk-based reviews, monitor staff productivity, collaborate with leadership, and mentor team members while traveling up to 50% to meet business needs. This role requires deep knowledge of securities rules, fiduciary oversight, and the ability to communicate

Qualifications

Minimum 5 years in a principal capacity and 2 years in supervision, compliance, or risk within retail investments.
FINRA Series 7 and at least one of Series 66 (63/65) or 9/10 (4,24,53) and state Life & Health license; other licenses must be obtained within 120 days.
Strong knowledge of regulations, fiduciary oversight, and securities rules.
Excellent communication and leadership abilities, with client and advisor focus.
Ability to travel up to 50%.

Responsibilities

Oversee a territory of Financial Advisors and supervise high-risk escalations end-to-end.
Monitor account reviews, staff productivity, and regulatory compliance.
Identify issues and engage senior leadership for action.
Develop expertise in securities rules and regulatory guidelines.
Collaborate with Sales Practice Review and Disciplinary Action Forum.
Mentor staff, conduct performance evaluations, and participate in recruiting.
Travel up to 50%.