Wealth Supervisory Leader - Risk, Escalations & Compliance

JPMorgan Chase; Chicago (IL); On-site; USD 150,000 - 190,000; Full time

Job summary

J.P. Morgan Wealth Management is seeking a Vice President Supervisory Manager to oversee complex, high-risk escalations from end-to-end. You will coordinate with field and executive stakeholders, ensure timely resolution of e-communications and trades, and approve all cross‑line correspondence.

The role emphasizes strong risk management, decision making, and regulatory understanding. In this position, you will lead day-to-day supervisory activities, oversee trade correction reviews, and drive

Qualifications

• 7+ years in securities and investment industry.
• Deep understanding of advisory services and complex client accounts.
• Working knowledge of the US financial regulation framework including FINRA rules.

Responsibilities

• Resolve e-communication and transaction-related inquiries and manage trade correction reviews and approvals.
• Review and approve all incoming and outgoing correspondence across multiple lines of business.
• Partner with Field Management and Supervisory Managers to resolve exceptions and supervise registered personnel.
• Lead and implement business and firm-wide initiatives, overseeing day-to-day supervisory aspects of the business.
• Respond to Compliance, Supervision, and Audit Examination inquiries timely and effectively.
• Undertake project work and training of newly hired team members.
• Escalate supervisory issues with relevant recommendations for action.
• Review work items escalated internally by employees at various levels.
• Identify process improvements and drive change.
• Influence and align stakeholders to reach final resolutions.

Skills

Securities industry

Advisory services

FINRA rules knowledge

Risk management

Analytical thinking

Communication skills

Time management

FINRA licenses

Education

Bachelor's degree

Job description

J.P. Morgan Wealth Management is seeking a Vice President Supervisory Manager to oversee complex, high-risk escalations from end-to-end. You will coordinate with field and executive stakeholders, ensure timely resolution of e-communications and trades, and approve all cross‑line correspondence.

The role emphasizes strong risk management, decision making, and regulatory understanding. In this position, you will lead day-to-day supervisory activities, oversee trade correction reviews, and drive