Wealth Management Risk & Compliance Supervisor

Testing Site - JPMC

Charlotte (NC)

On-site

USD 130,000 - 180,000

Full time

14 days+

Get a reply from this employer

Your resume and cover letter, tailored to exactly what they’re hiring for.

Get past ATS filters

Job summary

J.P. Morgan Wealth Management seeks a Supervisory Manager to oversee a territory of Financial Advisors, ensuring high-quality reviews and regulatory compliance. You will lead risk-based account reviews, mentor staff, and collaborate with senior leadership to address issues and drive performance.

The role requires strong leadership, analytical skills, and the ability to travel up to 50% to service diverse client needs across markets.

Qualifications

Minimum of 5 years in a principal capacity and 2 years in securities supervision or risk within retail investments.
Proficient knowledge of regulations, fiduciary oversight, and financial planning strategies.
Must hold FINRA Series 7 and at least one of Series 66/63/65 or 9/10 licenses and life/health insurance licenses.
Willingness to engage directly with clients and advisors.
Ability to travel up to 50%.

Responsibilities

Monitor and analyze progress of account and book reviews and staff productivity.
Escalate issues to senior leadership and coordinate with Disciplinary Action Forum as needed.
Ensure staff understand duties and adapt to regulatory changes.
Develop expertise in securities rules and refine review rules accordingly.
Supervise staff development, conduct performance evaluations, and participate in recruiting.