J.P. Morgan Wealth Management - Executive Director Supervisory Director - Chicago, IL

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 exhibit leadership and operational expertise when performing designated supervisory duties to oversee a team of centralized Supervisory Team Managers. You will be responsible for managing complex, high risk escalations from end-to-end and outreach to executive level stakeholders.

Job responsibilities

• Manage a team of managers responsible for overseeing Registered Principals that are responsible for supervising various functions (including but not limited to correspondence review, trade corrections, gift reviews, electronic communications reviews) across multiple Lines of Business
• Ability to make independent suitability decisions based on firm policy
• Lead with a sense of urgency to manage workflow and volumes
• Strategically partner with stakeholders across the firm
• Identify process improvements and drive change
• Lead and implement business and firm-wide initiatives
• Develop and train staff on current industry trends and products

Required qualifications, capabilities, and skills

• 10+ years of experience in the securities / investment industry
• Minimum licensing requirement: 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.
• Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
• Demostrate 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.
• State Life & Health Insurance license a plus, but not required.

INVESTMENT AND INSURANCE PRODUCTS ARE:
• NOT FDIC INSURED • NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY • NOT A DEPOSIT OR OTHER OBLIGATION OF, OR GUARANTEED BY, JPMORGAN CHASE BANK, N.A. OR ANY OF ITS AFFILIATES • SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL AMOUNT INVESTED   Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, N.A. are affiliated companies under the common control of JPMorgan Chase & Co. Products not available in all states.

Chase is a leading financial services firm, helping nearly half of America’s households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs. 

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, 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