Job Abstract

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 Director in Chase Wealth Management, you will be responsible for developing, implementing and leading organizational strategies. You will spearhead process changes as well as lead efforts to identify process improvements in the organization. You will support and lead project and program management work while serving as the top point of escalation for stakeholders and the broader team.

Job responsibilities

• Lead an organization of Registered Principals that are responsible for reviewing and determining suitability for a variety of products within a respective region
• Partner with the Regional Directors and our other Supervision teams to ensure business objectives are achieved
• Ensure business and firm-wide initiatives are successfully driven by Supervisory Manager team (i.e., Document Integrity, FINRA changes, etc.)
• Develop and motivate the team by providing a compelling vision of shared goals and objectives
• Set high standards while empowering and holding the team accountable for meeting those standards
• Seek out ways to leverage and apply innovative ideas to enhance business results
• Ensure day-to-day supervisory aspects of the business are functioning
• Ensure timely and effective responses to compliance, supervision and audit examinations on a priority basis
• Provide approval when needed to resolve any escalated supervisory issues
• Facilitate communication & training to ensure all employees have needed knowledge of supervisory topics to mitigate risk and enhance the client experience
• Participate on various committees and projects which convene to collaborate on strategic initiatives

Required qualifications, capabilities, and skills

• 10+ years of experience in the securities / investment industry
• 5+ years of experience managing a team of people required
• 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 working knowledge of the US financial regulation framework including applicable FINRA rules
• Possess excellent leadership, communication, and people management skills
• Ability to work independently and make sound, risk-based and suitability decisions based on firm policy
• Ability to collaborate across multiple levels of supervision and work in a dynamic team environment that is consistently evolving
• Ability to manage a pipeline of work from assignment to completion as well as meet or exceed business goals and objectives, while fostering a team atmosphere
• Possess a deep understanding and experience of advisory services and a multitude of products and complex client accounts
• Ability to provide thought leadership and identifies opportunities for process improvement

Preferred qualifications, capabilities, and skills

• Bachelor’s Degree preferred
• Excellent presentation skills, effective written and verbal communication skills; must be comfortable dealing with senior management
• Possess excellent leadership skills in change management