J.P. Morgan Wealth Management - Supervisory Manager - Charlotte, NC
On-site · Charlotte, North Carolina, United States
Job Summary
Supervisory Manager in Chase Wealth Management to oversee a territory of Financial Advisors, manage complex, high-risk escalations end-to-end, and engage executive-level stakeholders. Responsibilities include monitoring advisor book reviews and staff productivity, addressing issues and regulatory risks, updating procedures, developing securities-rule expertise, conducting ongoing suitability reviews, mentoring and evaluating staff, and participating in recruiting and pay actions. Requires 5+ years in a principal capacity with securities supervision/risk, FINRA Series 7 and additional licenses (Series 66/63/65, 9/10/4/24/53), and a relevant State Life & Health Insurance license; travel up to 50% and a Bachelor’s Degree preferred.
Required Qualifications
- Minimum of 5 years of experience in a principal capacity and 2 years of experience within the securities investment industry supervision, compliance, or risk capacity, in retail investments
- Proficient knowledge of regulations, BI requirements, fiduciary oversight, and financial planning strategies
- Eagerness to engage directly with clients and advisors
- Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). appropriate State Life & Health Insurance license. Additional licensing requirements must be met within 120 days of hire
- Competent knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices
- Strong critical thinking, analytical research, and quantitative skills with the ability to provide clear, concise, and timely resolution to issues
- Excellent written and verbal communication skills, including the ability to communicate with all levels of management
- Exceptional time management, risk analysis, proven judgment, problem-resolution and decision-making skills
- Ability to understand new investment products, Advisor/Banker compensation plans, and firm-wide policies and procedures to conduct reviews
- Ability to build relationships across business functions to obtain necessary information for conducting reviews
- Ability to travel 50% of the time
- Bachelor’s Degree preferred
- Experience as a Supervisory or Compliance professional preferred
- Advanced knowledge of FINRA, MSRB, and SEC rules and regulations
- Experience working alongside Advisors preferred
- Bilingual Spanish
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