Wealth Management Supervisory Leader

Aumni; Irvine (CA); On-site; USD 120,000 - 180,000; Full time

Job summary

JPMorgan Chase Wealth Management in Irvine, CA seeks a Supervisory Manager to oversee financial advisors, manage escalations, and ensure regulatory compliance. You will lead a team, analyze risks, and drive process improvements to protect client interests.

The role requires 5+ years in a principal/supervisory capacity, FINRA licenses, strong communication, and ability to travel up to 50%. You will collaborate with leadership and support the Disciplinary Action Forum.

Qualifications

• Minimum of 5 years in a principal capacity and 2 years in securities supervision, compliance, or risk in retail investments.
• Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies.
• Must hold FINRA Series 7 and one or more of the following licenses: Series 66 (63/65), 9/10 (4,24,53). additional licenses must be met within 120 days of hire.
• Excellent written and verbal communication skills with ability to interact with all management levels.

Responsibilities

• Monitor and analyze the progress of active account and book reviews, as well as staff productivity.
• Identify opportunities to address issues, risks, and exposures, and engage senior leadership to take action on identified issues.
• Ensure the team fully understands their responsibilities to perform high-quality work and adapt to the changing regulatory environment.
• Develop subject matter expertise in securities rules and regulations through knowledge acquisition, research, and training.
• Collaborate with the Sales Practice Review team to cascade potential issues to the Disciplinary Action Forum.
• Supervise the development and mentoring of staff; assess performance and participate in hiring and pay decisions.

Skills

Leadership

Regulatory knowledge

Communication

Risk analysis

Mentoring staff

Client interaction

Education

Bachelor’s degree preferred

Job description

JPMorgan Chase Wealth Management in Irvine, CA seeks a Supervisory Manager to oversee financial advisors, manage escalations, and ensure regulatory compliance. You will lead a team, analyze risks, and drive process improvements to protect client interests.

The role requires 5+ years in a principal/supervisory capacity, FINRA licenses, strong communication, and ability to travel up to 50%. You will collaborate with leadership and support the Disciplinary Action Forum.