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Supervision Manager - Chase Wealth Management Central Supervision - Columbus, OH

Job Description

Supervision Manager
 

The Supervision Manager must lead a team of securities principals charged with reviewing and supervising securities or insurance transactions in light of client suitability, ensuring compliance with Financial Industry Regulatory Authority (FINRA) rules and regulations and firm policies and procedures.

Primary responsibilities include:

  • Manage a team of Supervision Officers as they execute delegated supervisory duties
  • Ensure that all work completed by team is within guidelines
  • Assist in overall effort to continually review and enhance tools, reports and programs used to monitor investment trades to make certain supervisory processes are as thorough as possible.
  • Help identify potential gaps in supervisory policies and procedures, and work with Management and Compliance to continually enhance and document effective policies and procedures
  • Interact with Senior Management across all facets of retail brokerage business (Compliance, Legal, Sales, Operations, Administration)
  • Address Supervision Inquiries with Registered Representatives and Supervisory Managers
  • Assist as needed in reviewing inbound & outbound quarantined e-mails and 3% of clean e-mails
  • Appropriately escalate, and help resolve, supervisory issues as warranted
  • Monitor for, and appropriately address, concerning business trends and patterns
  • Track Supervision Inquiries and address open items to prevent excessive aging
  • Respond to Compliance and Audit Examinations on a priority basis
  • Complete employee performance reviews annually and continually develop staff
 

Skills needed

  • Excellent interpersonal, verbal, & written communication skills
  • Strong organization & supervisory skills
  • Strong research, analytical, problem solving and decision-making skills
  • Demonstrated leadership, employee development, coaching and motivational skills
  • Excellent computer navigational skills (Microsoft Office)
  • At least five years of securities/investment industry experience required
  • Three years of supervisory or project management experience required
  • Retail brokerage experience strongly preferred
  • Proven ability to work in a dynamic team environment
  • FINRA Series 7, 9/10 (or 24, 53 and 4), 66 (or 63/65), minimum licensing requirements
  • Life and Health license required within 30 days of hire date
Req #: 180037573
Location: Columbus, OH US
Job Category: Accounting/Finance/Audit/Risk
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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