Wealth Management Supervisory Director: Lead & Transform

Testing Site - JPMC; New York (NY); On-site; USD 180,000 - 240,000; Full time

Job summary

J.P. Morgan Chase Wealth Management is seeking a Supervisory Director in New York to lead a team of Registered Principals, reviewing product suitability and ensuring regulatory compliance. You will collaborate with Regional Directors to execute strategic goals and manage supervisory processes across the region.

The role requires extensive securities industry experience, deep knowledge of FINRA rules, and a proven ability to drive process improvements while mentoring a high-performing team.

Qualifications

• 10+ years of experience in the securities/investment industry.
• 5+ years of experience managing a team.
• Licenses required: FINRA Series 7, 66 (63/65), 9/10 (4,24,53) and Life & Health Insurance licenses.

Responsibilities

• Oversee a team of Registered Principals reviewing product suitability across a region.
• Partner with Regional Directors to achieve business objectives.
• Ensure compliance and audit readiness for supervisory activities.
• Lead change initiatives and promote process improvements.
• Provide strong leadership and accountability within the team.

Skills

Leadership

Strategic thinking

Risk management

Communication skills

Mentoring

Education

Bachelor’s Degree preferred

Tools

FINRA Series 7

FINRA Series 66

FINRA Series 9/10

Life & Health Insurance license

Job description

J.P. Morgan Chase Wealth Management is seeking a Supervisory Director in New York to lead a team of Registered Principals, reviewing product suitability and ensuring regulatory compliance. You will collaborate with Regional Directors to execute strategic goals and manage supervisory processes across the region.

The role requires extensive securities industry experience, deep knowledge of FINRA rules, and a proven ability to drive process improvements while mentoring a high-performing team.