At JPMorgan Chase, we empower clients, support employees, and uphold diversity and inclusion. We value innovation, collaboration, and professional growth while delivering exceptional customer service and cultivating strong relationships.

As the Central Supervisory Brokerage Manager VP within J.P. Morgan Wealth Management, you will oversee regulatory obligations, manage operational risk, and fulfill supervisory requirements. You will collaborate with Field Supervisory Managers, deliver training to new associates, and promote process improvements. Your efforts will help ensure compliance with industry regulations while supporting the firm’s goals-based financial planning and wealth management solutions.
 

Job Responsibilities

Review next-day trades to ensure compliance with FINRA rules and industry regulations.Evaluate and document trades flagged as exceptions for suitability.Assess the suitability of select new accounts and products.Escalate supervisory issues with actionable recommendations for resolution.Collaborate with Field Supervisory Managers to resolve exceptions promptly.Conduct training for newly hired Central Supervisory Associates.Identify process improvements and drive change initiatives.Participate in project work and additional tasks as assigned.

Required qualifications, capabilities, and skills

Ability to work independently and make sound, risk-based decisions.Excellent research, analytical, and problem-solving skills.Strong interpersonal, verbal, and written communication skills.Effective organizational skills and attention to detail.Proven ability to work in a dynamic, evolving team environment.Effective time management skills to meet service level agreements and project deadlines.7 years of relevant experience in the financial securities/investment industry.5 years of experience in a Supervision, Compliance, Surveillance, Operations, or Control capacity.Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). Additional licensing requirements must be met within 120 days of hire.

Preferred qualifications, capabilities, and skills

Bachelor’s Degree (B.A./B.S.) preferred.