Wealth Management Supervisory Leader – Risk & Compliance

Aumni; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

JPMorgan Chase & Co. Wealth Management seeks a Supervisory Manager to oversee a territory of Financial Advisors, handling complex, high-risk escalations end-to-end and engaging executive stakeholders.

The role requires deep knowledge of securities rules, strong regulatory judgment, staff development, performance evaluations, and travel up to 50% to deliver reviews and improvements across client portfolios.

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.
• Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies.
• Eagerness to engage directly with clients and advisors.
• 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.
• Competent knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
• Strong critical thinking, analytical research, and quantitative skills with the ability to provide clear, concise, and timely resolution to issues.
• Excellent written and verbal communication skills, including the ability to communicate with all levels of management.
• Exceptional time management, risk analysis, proven judgment, problem-resolution and decision-making skills.
• Ability to understand new investment products, Advisor/Banker compensation plans, and firm-wide policies and procedures to conduct reviews.
• Ability to build relationships across business functions to obtain necessary information for conducting reviews.
• Ability to travel 50% of the time.

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

FINRA Series 7

FINRA Series 66/63/65

FINRA Series 9/10

Regulatory oversight

Client engagement

Leadership

Travel readiness

Education

Bachelor’s Degree preferred

Supervisory/compliance experience preferred

Job description

JPMorgan Chase & Co. Wealth Management seeks a Supervisory Manager to oversee a territory of Financial Advisors, handling complex, high-risk escalations end-to-end and engaging executive stakeholders.

The role requires deep knowledge of securities rules, strong regulatory judgment, staff development, performance evaluations, and travel up to 50% to deliver reviews and improvements across client portfolios.