13 days old

2020 Anticipated Need - Wealth Management - Central Supervisory Manager - VP

JPMorgan Chase & Co.
Chicago, IL 60602
  • Job Code
    190101664

2020 Anticipated Need - Wealth Management - Central Supervisory Manager - VP

Req #: 190101664
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 Manager exhibits leadership, management excellence and operational expertise to execute delegated supervisory duties in accordance with FINRA rules and regulations as well as internal policies and procedures.

 

 

Primary responsibilities include:


  • FINRA designated Supervisor for AWM registered personnel  
  • Strategically partner with Field Management
  • Lead and implement business and firm-wide initiatives
  • Ensure day-to-day supervisory aspects of the business are functioning
  • Ensure timely and effective responses to Compliance, Supervision and Audit Examinations
  • Ensure effective resolution of e-communication and transaction-related inquiries
  • Manage trade corrections requirements
  • Review and approve any outside business activities
  • Assist in of the resolution of customer complaints
  • Partner with Field Supervisory Managers in the supervision of registered personnel
  • Conduct outbound quality assurance calls to clients
  • Project work and additional tasks as assigned by Central Supervision Management


Skills Needed

  • Strong interpersonal, verbal, & written communication skills
  • Good organization skills & attention to detail
  • Good research, analytical and problem solving skills
  • Computer/navigational skills (Microsoft Office)
  • Effective time management skills in order to meet service level agreements and/or project deadlines

 


Qualifications

  • At least three years of experience in the securities/investment industry required
  • Retail brokerage and/or annuity experience strongly preferred
  • Proven ability to work in a dynamic team environment that is consistently evolving
  • FINRA Series 7 minimum licensing requirement in order to be considered
  • FINRA Series 9, 10, 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 and 10




Keyword: consumer%20banking

Categories

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

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2020 Anticipated Need - Wealth Management - Central Supervisory Manager - VP

JPMorgan Chase & Co.
Chicago, IL 60602

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