Apply Now    

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)

Apply Now    

Join our Talent Community

Not ready to apply? Leave your information with us and we will keep you up to date with new career opportunities.

Join Now

Privacy Statement

Any information you provide is confidential and will only be viewed by our recruiters in an effort to fill open positions. In addition, the information you provide is subject to our privacy policy practices.

Please note that J.P. Morgan will not accept unsolicited approaches or speculative CVs, nor will J.P. Morgan be responsible for any related fees, from Third Party Firms who are not preferred suppliers.

The firm invites all interested and qualified candidates to apply for employment opportunities.

Need disability related assistance?

If you are a US or Canadian applicant with a disability who is unable to use our online tools to search and apply for jobs, please contact us by calling (US and Canada Only) 1-866-777-4690. Please indicate the specifics of the assistance needed.

Keep in touch

Not ready to apply? Leave your information with us and we will keep you up to date with new career opportunities.