J.P. Morgan Wealth Management - Vice President Supervisory Manager - New York, NY
On-site · New York City, New York, United States
Job Summary
Senior Supervisory Manager role in J.P. Morgan Advisors overseeing a territory of Financial Advisors; responsible for governance of investment activities, regulatory compliance reviews of accounts and practices, onboarding/offboarding of staff, handling high-risk escalations, and delivering policy training while coordinating with Compliance, Legal, Risk Management and Internal Audit to resolve issues. Requires experience in securities rules and strong communication across management levels; licenses include FINRA Series 7, 66, 63/65, Series 9/10 and applicable state licenses; Bachelor’s degree preferred.
Required Qualifications
- 7+ years of experience in the securities / investment industry
- FINRA Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license
- A valid and active Series 4 and appropriate State Insurance licenses are required or must be obtained within 90 days of starting in the role as a condition of employment
- Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products and industry practices
- Ability to provide clear, concise and timely resolution to issues
- Demonstrate strong critical thinking, analytical research and quantitative skills
- Strong written and verbal communications skills, including an ability to communicate with all levels of management
- Possess excellent time management skills
- Proven judgment and problem-resolution skills
- Ability to understand new investment products, Advisor compensation plans, firm wide policies and procedures to conduct reviews
- Ability to build relationships across business functions to obtain necessary information to conduct reviews
- Bachelor’s Degree preferred
- Experience as a Supervisory or Compliance professional preferred
- Possess an advanced knowledge of FINRA, MSRB and SEC rules and regulations
- Experience working in an environment alongside Advisors preferred
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