Wealth Management Executive Office Sr Investigator
On-site · Columbus, Ohio, United States
Job Summary
Senior-level VP Investigator role within JP Morgan Wealth Management's Wealth Management Executive Office (WMEO). Responsible for researching and resolving non-sales and sales-practice client complaints, reviewing complaint correspondence and documents, interviewing clients and firm employees, investigating regulator complaints (SEC, FINRA, etc.) and attorney complaints, communicating resolutions to clients, attorneys, and regulators, escalating matters when needed, and partnering with Legal to resolve regulatory and arbitration/litigation issues. Requires precise written communications and strong verbal skills, with experience in securities industry and familiarity with WM operations. On-site five days a week in Columbus, OH; no visa sponsorship offered. JD preferred; Series 66/9/10/24, Life and Health licenses desirable.
Required Qualifications
- Bachelor's Degree
- Series 7 required
- At least 5 years of securities industry experience
- Strong phone and verbal communication skills
- Experience with J.P. Morgan Wealth Management
- Advanced writing ability
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