Wealth Management Supervisory Director of Risk & Compliance

Testing Site - JPMC; San Antonio (TX); On-site; USD 120,000 - 180,000; Full time

Job summary

J.P. Morgan Wealth Management is seeking a Supervisory Manager to oversee a territory of Financial Advisors, handling complex escalations and regulatory compliance. You will lead staff, ensure high-quality reviews, and coordinate with senior leadership to mitigate risks.

The role requires substantial experience in securities supervision, strong regulatory knowledge, and the ability to travel as needed. A Series 7 and additional licenses are required, with leadership responsibilities in a

Qualifications

• Minimum 5 years in a principal capacity with securities investment supervision experience.
• Strong knowledge of regulations, fiduciary oversight, and financial planning strategies.
• FINRA Series 7 and at least one of Series 66, 9/10, or 63/65; life/health license required.
• Excellent written and verbal communication with management at all levels.
• Strong risk assessment, problem solving, and decision making skills.

Responsibilities

• Oversee a territory of Financial Advisors and supervise supervisory duties.
• Manage high-risk escalations end-to-end and coordinate with executive stakeholders.
• Monitor staff productivity and ensure adherence to procedures and regulatory changes.
• Develop expertise in securities rules; conduct risk-based reviews and refine rules.
• Lead reviews of Advisor books to identify patterns needing action and communicate findings.

Skills

Regulatory compliance

FINRA licenses

Securities oversight

Communication

Leadership

Risk analysis

Travel

Bilingual Spanish

Education

Bachelor's degree preferred

Job description

J.P. Morgan Wealth Management is seeking a Supervisory Manager to oversee a territory of Financial Advisors, handling complex escalations and regulatory compliance. You will lead staff, ensure high-quality reviews, and coordinate with senior leadership to mitigate risks.

The role requires substantial experience in securities supervision, strong regulatory knowledge, and the ability to travel as needed. A Series 7 and additional licenses are required, with leadership responsibilities in a