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Chase Wealth Management - Supervision Analyst II - Supervision and Sales Management

Job Description

  • Assist Supervision Management in identifying and escalating potential areas of risk.
  • Identify opportunities to simplify and improve the quality, content and format of initiatives; includes proactive interaction with other departments and lines of business to define suitability requirements, business needs, technology requirements and implement solutions.
  • Understand existing and planned CWM systems and platforms and participate in the new business initiatives process to evaluate new technology roll-outs and identify potential risk.
  • Testing of new and existing supervisory controls prior to implementation and on an on-going basis
  • Define and evaluate metrics to measure trends and potential risk.
  • Partner with CWM business units including Information Technology, Operations, Legal, Risk, Compliance and the Sales Field.
  • Assist in evaluating supervisory transaction reviews in a quality assurance capacity.
  • Assist in working with Controls team to evaluate Risk & Control Self Assessments (RCSAs).
  • Other projects and tasks as assigned by Supervision Management.
    • FINRA Series 7  and 9/10 minimum licensing requirement in order to be considered
    • FINRA Series 66 (or 63 and 65)in addition to Life Insurance license required within 90 days
    • FINRA Series 24, 53 and 4 may replace the requirements for Series 9/10
    • Bachelor Degree preferred. (BA/BS) Preferably in Finance, Accounting, Mathematics or Business.
    • 3-5 years of experience in supervision, risk management, or operations, in the financial sector, preferably with a broker-dealer or wealth management business.
    • In-depth understanding of business technologies with a focus on broker-dealer and wealth management systems in the financial services industry
    • Strong analytical and problem solving skills.
    • Ability to develop compelling analytical reporting and presentations.
    • Ability to build and maintain relationships across the wider firm.
    • Detail-oriented and ability to work independently.
    • Proven ability to work in a dynamic team environment.
    • Strong computer skills: Excel, PowerPoint, Word, Access. 
Req #: 180037406
Location: Westerville, OH US
Job Category: Accounting/Finance/Audit/Risk
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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