J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions with client assets of $4 trillion. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.

Our Wealth Management teams develop deep, personal relationships with clients to provide goals-based financial planning advice and to deliver sophisticated products and solutions to meet their generational wealth management needs. Using the latest technology and the resources of the entire firm, Wealth Management directly serves clients through the J.P. Morgan Private Bank globally and J.P. Morgan Securities in the US.

The Supervisory Management Team is a dedicated business-aligned team whose delegated responsibility is to assist the business in managing its regulatory obligations, operational risk and supervisory requirements.

As a Select Advisory Group (SAG) Supervisory Manager (SM), you will exhibit leadership and operational expertise when performing designated supervisory duties to oversee a territory of Select Financial Advisors. You will be responsible for managing complex, high risk escalations from end-to-end and outreach to executive level stakeholders.

Job Responsibilities

• Monitor and analyze progress of active account and book reviews as well as monitor staff productivity
• Recognize opportunities for addressing issues, risks and exposures. Engage line of business senior leadership to action identified issues
• Ensure team's complete understanding of their responsibilities in order to perform high quality work and able to adapt to the changing regulatory environment
• Interface with various Line Of Business leadership teams
• Understand system logic used in conducting risk based reviews. Further develop and refine the rules based on prior findings
• Review, draft or update desktop procedures as required. Effectively communicate changes to team members
• Develop subject matter expertise of securities rules and regulations through knowledge, research and training
• Develop and implement account reviews for the purposes of monitoring for ongoing suitability of the investments and activity in a client's account
• Conduct Select Advisor book reviews to identify any trends or patterns requiring further review that may have impact to more than one customer
• Identify and escalate potential issues to the appropriate parties on matters requiring further action
• Create and present reports to senior management across lines of business
• Work with the Sales Practice Review team to escalate potential issues to the Disciplinary Action Forum
• Supervise the development and mentoring of staff at varying levels of expertise; assess performance of staff; prepare and deliver performance evaluations; and participate in recruiting, interviewing, retaining and recommending pay actions for staff
• Use computer resources and software applications for data and information analysis pursuant to department procedures

Required Qualifications, Skills and Capabilities

• 7+ years of experience in the securities / investment industry7+ years of experience in the securities / investment industry
• Bachelor's Degree required
• Experience as a Supervisory or Compliance professional
• 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
• Strong organizational skills with exceptional attention to detail
• Possess excellent time management skills
• Proven judgment and problem-resolution skills
• Familiarity with the use of computer programs with the full suite of office software applications
• Ability to understand new investment products, Select Advisor/Banker compensation plans, firm wide policies and procedures to conduct reviews
• Ability to build relationships across business functions to obtain necessary information to conduct reviews
• Knowledge of FINRA, MSRB and SEC rules and regulations
• Licenses required to perform all job duties associated with the role: FINRA Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license
• Minimum licensing requirement: 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 for 120 within 120 days of hire (if applicable): Any of the following licenses not already obtained: FINRA Series 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license and supervisory requirements

JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

The health and safety of our colleagues, candidates, clients and communities has been a top priority in light of the COVID-19 pandemic. JPMorgan Chase was awarded the "WELL Health-Safety Rating" for all of our 6,200 locations globally based on our operational policies, maintenance protocols, stakeholder engagement and emergency plans to address a post-COVID-19 environment.

As a part of our commitment to health and safety, we have implemented various COVID-related health and safety requirements for our workforce. Employees are expected to follow the Firm's current COVID-19 or other infectious disease health and safety requirements, including local requirements. Requirements include sharing information including your vaccine card in the firm's vaccine record tool, and may include mask wearing. Requirements may change in the future with the evolving public health landscape. JPMorgan Chase will consider accommodation requests as required by applicable law.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, discretionary incentive compensation which may be awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

Equal Opportunity Employer/Disability/Veterans

Base Pay/Salary
New York,NY $114,000.00 - $180,000.00 / year