J.P. Morgan Wealth Management - Vice President Central Supervisory Manager - Columbus, OH, Tempe, AZ and Plano, TX
On-site · Tempe, Arizona, United States or Columbus, Ohio, United States
Job Summary
Lead and oversee supervisory activities for wealth management across multiple markets, ensuring regulatory compliance, risk mitigation, and suitability of client offerings. Responsibilities include reviewing next-day trades for FINRA rule compliance, documenting exceptions for suitability, assessing new accounts and products, escalating issues with actionable recommendations, collaborating with Field Supervisory Managers, delivering training to Central Supervisory Associates, driving process improvements, and participating in project work. Requires strong analytical, communication, and organizational skills, the ability to work independently, and significant experience in financial securities supervision and compliance.
Required Qualifications
- 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)
- Bachelor’s Degree (B.A./B.S.) preferred
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