The Company is seeking a Supervisory Manager for its Wealth Management division. The successful candidate will be responsible for providing leadership and operational expertise in the supervision of a territory of Financial Advisors. This role involves managing complex, high-risk escalations, monitoring and analyzing staff productivity, and ensuring the team is well-versed in their responsibilities, particularly in the context of a changing regulatory environment. The Supervisory Manager will also be tasked with developing and refining risk-based review processes, as well as implementing account reviews to ensure the ongoing suitability of investments in client accounts. Applicants must have a minimum of 5 years' of experience in a principal capacity, with at least 2 years' in securities investment industry supervision, compliance, or risk, specifically in retail investments. Proficiency in regulations, BI requirements, fiduciary oversight, and financial planning strategies is essential. The role requires a candidate with strong critical thinking, analytical, and quantitative skills, as well as the ability to communicate effectively with all levels of management. A FINRA Series 7 license is mandatory, along with one or more additional licenses. The ideal candidate will have a Bachelor's degree, advanced knowledge of FINRA, MSRB, and SEC rules, and experience working alongside Advisors. The position demands a high level of time management, risk analysis, and decision-making skills, and the ability to travel up to 50% of the time.

Hiring Company

JPMorgan Chase & Co.