J.P. Morgan Wealth Management - Vice President Supervisory Manager - Chicago, IL, Plano, TX

J.P. Morgan Wealth Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals while utilizing the latest technology and resources of the entire firm. Our Wealth Management teams develop deep, personal relationships with clients to provide goals-based financial planning advice and to deliver sophisticated products and solutions to meet their generational wealth management needs.

As a Vice President Supervisory Manager in J.P. Morgan Wealth Management, you will be responsible for managing complex, high risk escalations from end-to-end and outreach to the field and executive level stakeholders. You will ensure effective resolution of e-communication and transaction-related inquiries, manage trade correction reviews and approvals, and review and approve all incoming and outgoing correspondence across multiple lines of business.

You will also be responsible for leading and implementing business and firm-wide initiatives, ensuring day-to-day supervisory aspects of the business are functioning, and partnering with Field Management in the supervision of registered personnel.

• Ensure effective resolution of e-communication and transaction-related inquiries
• Manage trade correction reviews and approvals
• Review and approve all incoming and outgoing correspondence across multiple lines of business
• 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
• Partner with Field Management in the supervision of registered personnel
• Undertake additional project tasks as assigned by Central Supervision Management
• Escalate supervisory issues as necessary, providing relevant recommendations as to appropriate actions to be taken
• Strategically partner with Supervisory Managers or registered personnel in the field to resolve exceptions
• Responsible for reviewing certain work items escalated internally by 601 and/or 602 level employees
• Conduct training of newly hired team members
• Identify process improvements and help drive change
• Responsible for influencing, clearly articulating, and aligning stakeholders to final resolution.

• Has a deep understanding and experience of advisory services and a multitude of products and complex client accounts. Also possesses working knowledge of the US financial regulation framework including applicable FINRA rules. Additionally, has a knowledge and understanding of risk management.
• Ability to work independently and make sound, risk-based decisions based on firm policy
• Demonstrates strong research, analytical and problem-solving skills that lead to the ability to analyze trends and patterns; identify and implement improvements or enhancements
• Ability to collaborate across multiple levels of supervision with strong interpersonal, verbal, & written communication skills while strong organization skills & attention to detail
• Proven ability to work in a dynamic team environment that is consistently evolving
• Strong time‑management skills in order to meet service level agreements and/or project deadlines
• Active and valid FINRA Series 7 and one or more of the following licenses are required to be considered for the role: FINRA Series 66 (63,65), 9/10 (4,24,53)
  FINRA Series 7, 66 (63,65), 9/10 (4,24,53), all licenses are required to perform all job duties associated with the role. If any of the licenses are not already held, they must be obtained within 120 days of starting in the role as a condition of employment.
• 7+ years in the securities and investment industry

• Retail brokerage and/or annuity experience strongly preferred
• Bachelor’s Degree preferred