J.P. Morgan Wealth Management - Vice President - Supervisory Manager - Houston, TX

J.P. Morgan Wealth 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 while utilizing the latest technology and resources of the entire firm. 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.

As a Supervisory Manager in Chase Wealth Management, you will exhibit leadership and operational expertise when performing designated supervisory duties to oversee a territory of 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
• 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 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
• 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; assesses performance of staff; prepare and deliver performance evaluations; and participate in recruiting, interviewing, retaining and recommending pay actions for staff

Required qualifications, capabilities, and skills

• 7 years of experience in the securities / investment industry
• 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 must be met within 120 days of hire.
• 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 / 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

Preferred qualifications, capabilities, and skills

• 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