J.P. Morgan Wealth Management - Vice President - Supervisory Manager - San Antonio
On-site · San Antonio, Texas, United States
Job Summary
Supervisory Manager in Chase Wealth Management overseeing a territory of Financial Advisors. Responsibilities include supervising staff, managing complex, high-risk escalations from end-to-end, outreach to executive level stakeholders, monitoring account and book reviews, addressing issues and regulatory exposures, updating procedures, developing expertise in securities rules, conducting advisor book reviews, identifying trends, escalating issues, collaborating with the Sales Practice Review team, mentoring staff, and participating in recruiting and performance evaluations. Requires strong knowledge of securities regulations, client engagement, travel flexibility, and ability to analyze risk, communicate effectively at all management levels, and adapt to changing regulatory environments.
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.
- Bachelor’s Degree preferred
- Advanced knowledge of FINRA, MSRB, and SEC rules and regulations.
- Experience working alongside Advisors preferred.
Apply with one swipe on Sorce. We auto-fill applications and apply on your behalf — no cover letters, no 40-minute forms.
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.