13 days old

2020 Anticipated Need - Wealth Management - Central Supervisory Director – Executive Director - Chicago, IL

JPMorgan Chase & Co.
Chicago, IL 60602
  • Job Code

2020 Anticipated Need - Wealth Management - Central Supervisory Director – Executive Director - Chicago, IL

Req #: 190101657
Location: Chicago, IL, US
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide.  The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management.  A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands.

Asset & Wealth Management Background: With client assets under supervision of $2.3 trillion and assets under management of $1.7 trillion, J.P. Morgan Asset & Wealth Management (AWM) is one of the largest asset and wealth managers in the world.  AWM offers global investment management in equities, fixed income, real estate, hedge funds, private equity, liquidity, and multi-asset solutions.  It also provides trust and estate, banking, and brokerage services to high net worth clients, and retirement services for corporations and individuals.

As a J.P. Morgan Asset & Wealth Management employee, you will be part of a company that makes a real difference every day for our customers, our communities and ourselves. With a focus on customer service, you will put others first, do what is right and create solutions that make lives better. We invite you to build your career on our strong foundation and help shape what is next for you and for us.

The Central Supervisory Director exhibits leadership, management excellence and operational expertise to manage teams of Central Supervisory Managers responsible for executing delegated supervisory duties, while facilitating standardized supervisory oversight and assuring compliance with securities industry regulations and firm policies.


Primary responsibilities include:


The Central Supervisory Director will oversee a team of securities principals charged with the delegated responsibility of reviewing and supervising investment-related activities of the AWM registered personnel. Responsibilities include (but are not limited to):

  • Lead overall effort to continually review and enhance tools, reports and programs used to monitor investment-related activities of the AWM registered personnel

  • Interact with Senior Management across all facets of the brokerage and banking business as well as the corporate functions including Compliance, Legal, Risk and Control

  • Manage administrative aspects for a team of Supervisory Managers including the day to day supervision, hiring and talent review

  • Player/Coach role with ability to provide supervisory support to market/branch

  • Ongoing training and skill development of Supervisory Managers

  • Promote effective relationships with other areas within Supervision including Central, Field,  Supervisory Management Oversight Team, etc. for consistency of supervisory practices

  • Escalation point for the business  key decisions related to supervisory procedures, policies and client issues

  • Field supervisory team point of contact for internal and external audits. Liaison as directed with Compliance and Control teams related to audit issues

Skills required:


  • Demonstrated leadership, employee development, coaching and motivational skills

  • Excellent interpersonal, verbal, & written communication skills

  • Strong organization and management skills

  • Strong research, analytical, problem solving and decision-making skills

  • Excellent computer and navigational skills (Microsoft Office)

  • Strong working knowledge & experience with FINRA & SEC rules

  • At least ten years of experience in the securities/investment industry required
  • A minimum of five years of experience in managing people

  • At least five years of experience in managing a supervisory function preferred

  • BS in Accounting, Finance, Business or related discipline preferred

  • Retail brokerage experience strongly preferred
  • FINRA Series 7, 9/10 (or 8), 66 (or 63 and 65) and Life Insurance license required within a specified time frame

  • FINRA Series 24, 53, and 4 may replace the requirements for Series 9/10 or 8

Keyword: consumer%20banking


Posted: 2019-11-06 Expires: 2019-12-06

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2020 Anticipated Need - Wealth Management - Central Supervisory Director – Executive Director - Chicago, IL

JPMorgan Chase & Co.
Chicago, IL 60602

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