Wealth Management Supervisory Leader – Houston

JPMorganChase; Houston (TX); On-site; USD 110,000 - 160,000; Full time

Job summary

J.P. Morgan Wealth Management in Houston, TX seeks a Supervisory Manager to lead a team of Financial Advisors, oversee risk-based reviews, and manage high-risk escalations across the territory.

You will collaborate with senior leadership to ensure regulatory compliance and effective issue resolution. The role requires FINRA Series 7 and Series 66/63/65 (or equivalent), plus state Life & Health licenses, with strong communication, analytical, and mentoring abilities critical to success.

Qualifications

• Minimum of 5 years of experience in a principal capacity and 2 years of experience within the securities investment industry supervision, compliance, or risk capacity, in retail investments.
• Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). appropriate State Life & Health Insurance license.
• Excellent written and verbal communication skills with ability to interact with all levels of management.

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.
• Comprehend system logic used in conducting risk-based reviews and further develop and refine rules based on prior findings.
• Review, draft, or update desktop procedures as needed, and effectively communicate changes to team members.
• Develop subject matter expertise in securities rules and regulations through knowledge acquisition, research, and training.
• Implement account reviews to monitor the ongoing suitability of investments and activities in client accounts.
• Conduct Advisor book reviews to identify trends or patterns requiring further review that may impact multiple customers.
• Identify and elevate potential issues to appropriate parties for further action.
• Collaborate with the Sales Practice Review team to elevate potential issues to the Disciplinary Action Forum.
• Supervise the development and mentoring of staff at varying levels of expertise; assess staff performance; prepare and deliver performance evaluations; and participate in recruiting, interviewing, retaining, and recommending pay actions for staff.

Skills

Leadership

Regulatory compliance

Risk management

Financial analysis

Client engagement

FINRA Series 7

FINRA Series 66/63/65

State Life & Health Insurance license

Communication skills

Mentoring staff

Education

Bachelor's degree

Job description

J.P. Morgan Wealth Management in Houston, TX seeks a Supervisory Manager to lead a team of Financial Advisors, oversee risk-based reviews, and manage high-risk escalations across the territory.

You will collaborate with senior leadership to ensure regulatory compliance and effective issue resolution. The role requires FINRA Series 7 and Series 66/63/65 (or equivalent), plus state Life & Health licenses, with strong communication, analytical, and mentoring abilities critical to success.