Wealth Management Supervisory Leader - Financial Advisory

JPMorgan Chase & Co.; Houston (TX); On-site; USD 130,000 - 180,000; Full time

Job summary

JPMorgan Chase & Co. in the United States is seeking a Supervisory Manager for Chase Wealth Management to lead supervisory duties over Financial Advisors and manage complex escalations end-to-end.

The role requires licenses (FINRA Series 7 and 66/63/65 or 9/10), a securities industry background, and a willingness to travel up to 50%. Bachelor’s degree preferred and deep knowledge of regulations is expected.

Qualifications

• Minimum of 5 years in a principal capacity and 2 years supervising in securities investment retail, compliance, or risk.
• Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies.
• Strong written and verbal communication with senior leadership and clients.

Responsibilities

• Monitor and analyze progress of active account and book reviews and staff productivity.
• Identify issues and risks, engaging senior leadership to take action.
• Ensure teams understand responsibilities for high-quality work amid regulatory changes.
• Develop expertise in securities rules and refine rules based on findings.
• Review or update desktop procedures and communicate changes to staff.
• Implement account reviews to monitor investment suitability in client accounts.
• Collaborate with Sales Practice Review to escalate issues to the Disciplinary Action Forum.

Skills

Leadership

Analytical skills

Communication

Risk management

Client engagement

Time management

Education

Bachelor's degree

Tools

FINRA Series 7

FINRA Series 66/63/65

State Life & Health Insurance license

Job description

JPMorgan Chase & Co. in the United States is seeking a Supervisory Manager for Chase Wealth Management to lead supervisory duties over Financial Advisors and manage complex escalations end-to-end.

The role requires licenses (FINRA Series 7 and 66/63/65 or 9/10), a securities industry background, and a willingness to travel up to 50%. Bachelor’s degree preferred and deep knowledge of regulations is expected.