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Chase Wealth Management Investment Associate Support Manager, Denver, CO

Job Description

About Chase Wealth Management (CWM)
 Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and operations in more than 60 countries We serve more than 50 million consumers and small businesses through more than 5,600 bank branches, 18,700 ATMs, credit cards, mortgage offices and online and mobile banking as well as through relationships with auto dealerships.
 
Within Chase, Chase Wealth Management encompasses our Chase Private Client (CPC) and Chase Investment Services businesses. Through a dedicated team of branch Private Client Bankers, J.P. Morgan Advisors and Private Client Banking Services, Chase Private Client brings our affluent clients concierge banking services.
 
 As a Chase employee, you’ll be part of a company that makes a real difference every day for our customers, our communities and us. With a focus on customer service, you’ll put others first, do what’s right and create solutions that make lives better. We invite you to build your career on our strong foundation and help shape what’s next – for you and for us. 
 
Position Overview and Responsibilities:
Management Responsibilities:
  • Primary manager directly responsible for up to 15 Investment Associates
  • Foster and lead an environment of providing a high level of service to covered Advisors and clients
  • Lead, develop and coach both new and tenured licensed Investment Associates on their team
    • Provide assistance to each employee when mastering new skills and certify the training is ready to “go live”
    • Ensure they have the right training, including service and product education
    • Conduct “side by sides” and observe calls to ensure service quality assurance
    • Ensure team is proficient on all process, policy and compliance aspects of role
  • Own the employee experience for your team including recognition, appropriate respect and solutions of employee feedback and issues, etc.
  • Own (in close partnership with covered Advisors) all aspects of the performance management and career development process
  • Ensure swift resolution to systems access issues or hardware problems
     
            Designated Principal Responsibilities:
  • Lead a team of registered representatives and act as their designated principal 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
  • Address inquiries requiring escalation assistance (i.e. “I’d like to speak with your supervisor.”) in the first instance-appropriately help resolve issues or escalated as warranted to Supervisory Manager or Compliance Manager
     
    Leadership Responsibilities:
  • Recruit and retain experienced, licensed Investment Associates
  • Ensure workflow priorities are being met
  • Act as a liaison between Investment Associates, covered Advisors and respective Market Directors-Wealth Management
  • Identify key challenges, work to remove obstacles, share solutions and best practices across the team
  • Assess processes and make recommendations for efficiencies and process improvement
  • Bring the “voice of the team” on broader CWM Investment Associate initiatives
  • Ensure dissemination of every piece of communication to all staff members

 

  • At least five years of financial services or brokerage management experience required
  • FINRA Series 7, 66 (or equivalent), 9/10 (or equivalent) required, in addition to meeting FINRA continuing education requirements
  • Life and health insurance licenses
  • Strong compliance record in prior position(s) and ability to hold a registration in all 50 states
  • Strong business and investment acumen; knowledge of Investment Products, including Individual Retirement Accounts (IRAs) and Managed Accounts, required
  • Strong understanding of overall competitive landscape
  • Demonstrated working knowledge of financial analysis tools (Planning software, hypothetical proposals, calculators, etc.)
  • Excellent telephone communication skills and articulation of speech, displaying a high level of professionalism
  • Ability to adapt conversations to meet the needs of a diverse client base across all 50 states
  • Mastery of effective client profiling discussion techniques, active listening skills, and the ability to make complex concepts simple
  • Strong written communication skills and understanding of written correspondence regulation, particularly proper client email communication
  • A proven track record of success in a Financial Advisor role a plus
  • Proven experience in working with affluent clients and complex financial situations
  • Extremely organized and detail oriented, demonstrating working knowledge of Windows, Microsoft Office software (Word, Excel, PowerPoint, Access, etc.) and various file manipulation skills on a PC
  • Proven experience in a leadership capacity, motivating at an individual and team level, and balancing producing strong results with proper risk management
  • Ability to manage multiple priorities in a fast paced environment; adaptive to change
  • Bachelor’s degree preferred
Req #: 180050773
Location: Denver, CO US
Job Category: Investment Banking
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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