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
Central Supervisory Manager within JP Morgan Wealth Management responsible for regulatory obligations, operational risk, and supervisory requirements. Review next-day trades for FINRA compliance and evaluate/ document trades flagged as exceptions for suitability. Assess suitability of select new accounts and products; escalate supervisory issues with actionable recommendations; collaborate with Field Supervisory Managers to resolve exceptions; conduct training for newly hired Central Supervisory Associates; identify process improvements and drive change initiatives; participate in project work and additional tasks as assigned. Strong analytical, communication, and organizational skills with the ability to work in a dynamic, evolving team environment.
Required Qualifications
- FINRA Series 7
- FINRA Series 66 (63/65) or 9/10 (4,24,53) licenses
- 7 years of relevant experience in the financial securities/investment industry
- 5 years of experience in a Supervision, Compliance, Surveillance, Operations, or Control capacity
- Bachelor’s Degree preferred (B.A./B.S.)
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