Wealth Management Supervisory Lead - Risk & Compliance

JPMorgan Chase & Co.; Irvine (CA); On-site; USD 120,000 - 190,000; Full time

Job summary

JPMorgan Chase & Co.'s Wealth Management division seeks a Supervisory Manager to oversee a territory of Financial Advisors, handling complex escalations from end-to-end and coordinating with executive stakeholders.

You will monitor reviews, ensure regulatory compliance, and mentor staff while maintaining strong client and advisor engagement. Requires FINRA licenses and a willingness to travel up to 50%.

Qualifications

• Minimum 5 years in a principal capacity and 2 years in securities supervision or risk in retail investments.
• Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning.
• Willing to directly engage with clients and advisors.
• Must hold FINRA Series 7 and Series 66/63/65 and Life & Health license; additional licenses required within 120 days.
• Strong regulatory knowledge and ability to interpret securities rules.
• Excellent communication, time management, and judgment; adaptable to change.
• Willing to travel up to 50%.

Responsibilities

• Monitor progress of active account and book reviews; staff productivity.
• Identify issues and escalate to senior leadership to mitigate risks.
• Ensure team understands responsibilities for high-quality work amid regulatory changes.
• Develop expertise in securities rules through training and research.
• Implement account reviews to monitor investment suitability.
• Review Advisor books to identify trends needing review.
• Collaborate with Sales Practice Review to elevate issues to disciplinary forums.
• Supervise staff development, performance evaluations, and recruitment decisions.

Skills

FINRA Series 7

Series 66/63/65

Life & Health license

Regulatory knowledge

Client & advisor engagement

Leadership/people supervision

Time management & risk analysis

Travel up to 50%

Education

Bachelor’s degree

Job description

JPMorgan Chase & Co.'s Wealth Management division seeks a Supervisory Manager to oversee a territory of Financial Advisors, handling complex escalations from end-to-end and coordinating with executive stakeholders.

You will monitor reviews, ensure regulatory compliance, and mentor staff while maintaining strong client and advisor engagement. Requires FINRA licenses and a willingness to travel up to 50%.