JP Morgan Chase & Co.

J.P. Morgan Wealth Management | Vice President Central Supervisory Manager | Columbus, OH, Tempe, AZ and Plano, TX

JP Morgan Chase & Co.$120K — $150K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • 7+ years of experience in the financial securities/investment industry
  • 5+ years in Supervision, Compliance, Surveillance, Operations, or Control
  • FINRA Series 7 and one or more licenses (Series 66/63/65, 9/10, 4, 24, 53)
  • Ability to work independently and make risk-based decisions
  • Strong research, analytical, and problem-solving skills
  • Excellent communication skills, both verbal and written
  • Strong organizational skills and attention to detail

Responsibilities

  • Review next-day trades for compliance with FINRA and industry regulations
  • Evaluate exceptions in trades for suitability documentation
  • Assess suitability of new accounts and financial products
  • Escalate supervisory issues with actionable recommendations
  • Collaborate with Field Supervisory Managers for quick resolution of exceptions
  • Conduct training for new Central Supervisory Associates
  • Identify process improvements and lead change initiatives
  • Participate in project work and other assigned tasks

Benefits

  • Collaborative work environment emphasizing innovation
  • Opportunities for professional growth
  • Ability to make impactful changes for clients and the organization
Full Job Description
JOB DESCRIPTION

As a Central Supervisory Manager, you will play a key role in ensuring the integrity and suitability of our offerings. Your insights and leadership will help us deliver exceptional service and maintain our reputation for excellence. Be part of a collaborative environment that values innovation, continuous improvement, and professional growth. Make a difference for our clients, our team, and your career.

The Supervisory Manager is integral to managing regulatory obligations, operational risk, and supervisory requirements within J.P. Morgan Wealth Management. Our firm provides comprehensive strategies and expertise across asset classes through a global network of investment professionals, utilizing cutting-edge technology and resources. We focus on building deep, personal relationships with clients to offer goals-based financial planning and sophisticated solutions for generational wealth management.

Job Responsibilities

  • Review next-day trades to ensure compliance with FINRA rules and industry regulations.
  • Evaluate and document trades flagged as exceptions for suitability.
  • Assess the suitability of select new accounts and products.
  • Escalate supervisory issues with actionable recommendations for resolution.
  • Collaborate with Field Supervisory Managers to resolve exceptions promptly.
  • Conduct training for newly hired Central Supervisory Associates.
  • Identify process improvements and drive change initiatives.
  • Participate in project work and additional tasks as assigned.

Required qualifications, capabilities, and skills

  • Ability to work independently and make sound, risk-based decisions.
  • Excellent research, analytical, and problem-solving skills.
  • Strong interpersonal, verbal, and written communication skills.
  • Effective organizational skills and attention to detail.
  • Proven ability to work in a dynamic, evolving team environment.
  • Effective time management skills to meet service level agreements and project deadlines.
  • 7+ years of relevant experience in the financial securities/investment industry.
  • 5+ years of experience in a Supervision, Compliance, Surveillance, Operations, or Control capacity.
  • Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). Additional licensing requirements must be met within 120 days of hire.

 

Preferred qualifications, capabilities, and skills

  • Bachelor’s Degree (B.A./B.S.) preferred.

About JP Morgan Chase & Co.

JP Morgan Chase & Co. stands at the forefront of the global financial services industry. They offer an expansive array of products and services to a diverse clientele, including individuals, corporations, governments, and institutions. Ever since the merger of J.P. Morgan & Co. and Chase Manhattan Corporation in 2000, this industry-leading entity has become renowned for its comprehensive portfolio encompassing consumer and community banking, corporate and investment banking, commercial banking, as well as asset and wealth management. Headquartered in the vibrant city of New York, JP Morgan Chase & Co. boasts a formidable presence across over 100 countries worldwide.

Unveiling Employment Opportunities at JP Morgan Chase & Co.

Vacancies and Hiring Initiatives

JP Morgan Chase & Co. is continuously on the lookout for talented individuals eager to contribute to its legacy of excellence. The company's recruitment efforts are geared towards identifying candidates with the right blend of skills and qualifications to drive forward its various business segments. Whether you are a seasoned professional or a recent graduate, JP Morgan Chase offers a plethora of job openings across multiple disciplines.

High-Demand Positions

Among the myriad of roles, certain positions stand out for their attractive compensation packages and career advancement prospects. Notably, high-paying jobs at JP Morgan Chase & Co. include Relationship Manager, Branch Manager, and Software Engineer. These roles are critical to the firm's operations and offer lucrative opportunities for those with the requisite expertise.

Navigating the Job Market at JP Morgan Chase & Co.

Leveraging Job Portals and Job Alerts

For job seekers aiming to tap into the opportunities at JP Morgan Chase, staying updated through job portals and subscribing to job alerts is crucial. These tools can provide timely information about job openings, job fairs, and recruitment events, enabling candidates to apply promptly and prepare adequately for interviews.

Preparing Your Job Application

Your job application, comprising your resume and cover letter, is your ticket to securing an interview at JP Morgan Chase. Highlight your qualifications, skills, and experiences that align with the job listing, ensuring you stand out in the competitive job market.

Acing the Interview

Preparation is key to succeeding in your interview with JP Morgan Chase. Familiarize yourself with the company's business segments, values, and recent achievements. Demonstrating how your background and aspirations match the company's goals can significantly increase your chances of employment. A World of Job Opportunites in the Financial Services Industry JP Morgan Chase & Co. offers a world of job opportunities for those seeking to make their mark in the financial services industry. With competitive salaries, comprehensive benefits, and endless possibilities for growth, positions at JP Morgan Chase are highly coveted. By staying informed through job sites, tailoring your applications, and preparing thoroughly for interviews, you can enhance your prospects of joining the esteemed ranks of JP Morgan Chase employees. Explore the job board, seize the job opportunities, and embark on a rewarding career journey with one of the world's leading financial institutions.
Learn more about JP Morgan Chase & Co.
Size
661 employees
Market Cap
$384.5 billion
Industry
Net Income
$29.1 billion
Founded
1823
5 Year Trend
+0.7%
Revenue
$261.5 million
NASDAQ

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