Wealth Management Compliance & Oversight Leader

Testing Site - JPMC; New York (NY); On-site; USD 150,000 - 210,000; Full time

Job summary

J.P. Morgan Advisors seeks a Supervisory Manager to oversee a territory of Financial Advisors, handling complex escalations end-to-end and coordinating with executive stakeholders.

You will monitor investment activities, review compliance across trading and client accounts, assist with onboarding/offboarding, and investigate inquiries with Compliance, Legal, Portfolio Risk and Internal Audit. This role requires strong communication and problem-solving skills.

Qualifications

• 7+ years of experience in the securities / investment industry.
• Licenses required: FINRA Series 7, 66 (63/65), 9/10 (4,24,53) and appropriate State Life & Health licenses.
• Valid Series 4 and state insurance licenses required or within 90 days of starting.
• Knowledge of securities rules, regulations, guidelines and industry practices.
• Ability to provide clear, concise, timely resolutions to issues.
• Strong analytical, research and quantitative skills.
• Excellent written and verbal communications across management levels.
• Strong time management and judgment in problem resolution.
• Ability to understand new products and firm policies for reviews.

Responsibilities

• Monitor investment activities of registered and non-registered employees.
• Review activity, documents, marketing material for compliance with regulatory requirements.
• Monitor trading practices for regulatory compliance and internal policy.
• Assist in on/off boarding of staff.
• Investigate client inquiries and provide resolution with Compliance, Legal, Risk and Senior Management.
• Serve as point of contact for issues during business days with oversight groups.
• Provide policy training and assist with continuing education; disseminate policy changes.
• Act as main contact for internal examinations by Compliance and Internal Audit.
• Resolve order errors and assign responsibilities for errors.
• Review client accounts and maintain review records as per guidelines.
• Approve outside speaking engagements and personal securities transactions; maintain logs.

Skills

7+ years experience

FINRA licenses

Series 4 license

Securities rules knowledge

Issue resolution

Analytical skills

Written/verbal communication

Time management

Judgment & problem-resolution

Education

Bachelor’s Degree preferred

Job description

J.P. Morgan Advisors seeks a Supervisory Manager to oversee a territory of Financial Advisors, handling complex escalations end-to-end and coordinating with executive stakeholders.

You will monitor investment activities, review compliance across trading and client accounts, assist with onboarding/offboarding, and investigate inquiries with Compliance, Legal, Portfolio Risk and Internal Audit. This role requires strong communication and problem-solving skills.