Wealth Management Supervisory Leader – Risk & Compliance

JPMorganChase; San Francisco (CA); On-site; USD 120,000 - 170,000; Full time

Benefits offered by this job

Health coverage

Retirement plan

Wellness centers at site

Backup childcare

Tuition reimbursement

Mental health support

Financial coaching

Job summary

JPMorganChase is seeking a Supervisory Manager for Chase Wealth Management in San Francisco. You will oversee a territory of Financial Advisors, manage complex escalations, and ensure compliance with evolving regulations while engaging directly with clients and advisors.

Travel up to 50% is required as part of oversight and reviews. You will lead staff development, conduct performance evaluations, and collaborate with the Sales Practice Review team to address issues.

Qualifications

• Minimum of 5 years of experience in a principal capacity and 2 years in securities supervision/risks.
• Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies.
• Must hold FINRA Series 7 and Series 66 or 9/10 licenses or state equivalents.

Responsibilities

• Oversee a territory of Financial Advisors and supervise high-risk escalations end-to-end.
• Monitor account reviews, staff productivity, and regulatory changes.
• Develop staff through mentoring, performance evaluations, and recruiting involvement.
• Collaborate with Sales Practice Review to escalate issues to the Disciplinary Action Forum.
• Review and update procedures; build expertise in securities rules and regulations.

Skills

Regulatory knowledge

BI requirements

Client engagement

Leadership

Communication

Risk analysis

Education

Bachelor's Degree

Job description

JPMorganChase is seeking a Supervisory Manager for Chase Wealth Management in San Francisco. You will oversee a territory of Financial Advisors, manage complex escalations, and ensure compliance with evolving regulations while engaging directly with clients and advisors.

Travel up to 50% is required as part of oversight and reviews. You will lead staff development, conduct performance evaluations, and collaborate with the Sales Practice Review team to address issues.