The Supervisory Manager will closely partner with the Market Director and be expected to manage all day-to-day administrative, supervisory, and operational aspects for the business in order to achieve our strategic objectives for a designated territory.
Key Responsibilities include:
- FINRA designated Supervisor for Advisors in supported region
- Strategically partner with Market Director to lead and develop supported region
- Lead and implement business and firm-wide initiatives (ex. Document Integrity, FINRA changes, etc)
- Ensure day-to-day Operational, Compliance and Supervisory aspects of the business are functioning
- Oversee and manage outstanding licensing requirements in supported region
- Ensure timely and effective responses to Compliance, Supervision and Audit Examinations on a priority basis
- Ensure effective execution of e-mail reviews and Monthly Account Reviews
- Address and resolve escalated supervisory issues
- Follow-up on any concerns that arise from pre-hire compliance checks
- Manage all trade corrections
- Review and approve any outside business activities
- Assist in of the resolution of customer complaints
Chase Wealth Management is part of a 200-year tradition of helping clients pursue their unique financial goals. By truly getting to know and understand our clients, our trusted network of more than 3,000 Advisors provide exceptional service, customized wealth management solutions and a range of investment strategies to help clients meet their needs and long-term objectives.
"Chase Private Client" is the marketing name for a business within JPMorgan Chase & Co. and its subsidiaries.
Bank products and services are offered through JPMorgan Chase Bank, N.A. and its affiliates. Securities are offered by J.P. Morgan Securities LLC member FINRA, NYSE and SIPC. J.P. Morgan Securities LLC is an affiliate of JPMorgan Chase Bank, N.A.
- 5+ years relevant supervisory experience in brokerage operations, supervision, compliance; prefer direct supervisory management experience of Advisors
- Bachelor Degree required
- Broad knowledge base and experience in Financial Services with extensive understanding of regulatory markets
- Strong controls experience and background
- Leadership, communication and influencing skills to drive change
- Excellent presentation skills, effective written and verbal communication skills; must be comfortable dealing with senior management
- FINRA Series 7, 9/10 (or equivalent) and 66 (or equivalent) required in addition to meeting FINRA continuing education requirements
- Ability to travel 10% of the time. This position will report to the Regional Supervisory Manager.
Req #: 180054842