The Private Bank Field Supervisory Manager is responsible to see that day-to-day supervisory aspects for the business are run appropriately in order to achieve our strategic objectives
Responsibilities include:
Strategically partner with Market Manager and within the Supervision teams to achieve business objectives
Coordinate and lead monthly meeting with Market Manager. This includes preparing and presenting key findings and overview of activities in prior month
Participate in Market Leadership meetings and join Market Team calls. Interact with employees in the market to address questions and take action to resolve
Train new hires and existing employees on procedure or specific topics as needed
Brokerage account reviews- In coordination with Central Supervision, analyze, review and escalate accounts for potential suitability concerns
Errors – Escalation contact for investment related errors. This includes reviewing and correcting error as well as completing escalation and reporting
Principal approval for brokerage trade corrections
Review and approve customized client materials
Review and approve incoming correspondence, checks & securities sent via express mail
Pre-approval of suitability for accounts to participate in Private Equity & Hedge Funds
Review and determine account eligibility for Initial Equity Public Offerings
Complaints- Review and coordinate with complaint response team for appropriate resolution
Review and resolve compliance surveillance inquiries
Liaison for annual compliance branch exam. Work with Market Manager to address any remediation needed
Review and approve employee requests related to giving or receiving gift
Email reviews- review trends and patterns for escalated e-mail violations
Employee registration- coordinate with Market Manager and registration department for changes to employee registration record
Provide supervisory coverage to another Market team during vacations or other time out of office
Qualifications and Skills:
Must be able to provide clear, concise, and timely resolution to issues as they arise
Strong presentation skills, effective written and verbal communication skills. This includes ability to present at Market Team meetings or other group settings. Able to communicate effectively at all levels of leadership
Strong organization and follow up skills. Ability to work well on an integrated team
Requirements:
BA/BS required
5+ years Supervisory experience in a private bank, wealth management or brokerage firm servicing individual clients. Experience can include roles in compliance, client service, administration and operations. Broad knowledge and experience in financial services with solid understanding of regulatory environment
FINRA Series 7, 9/10, 63(66) and 4 required in addition to meeting FINRA continuing education requirements.
JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as any mental health or physical disability needs.
The health and safety of our colleagues, candidates, clients and communities has been a top priority in light of the COVID-19 pandemic. JPMorgan Chase was awarded the “WELL Health-Safety Rating” for all of our 6,200 locations globally based on our operational policies, maintenance protocols, stakeholder engagement and emergency plans to address a post-COVID-19 environment.
As a part of our commitment to health and safety, we have implemented various COVID-related health and safety requirements for our workforce. Employees are expected to follow the Firm’s current COVID-19 or other infectious disease health and safety requirements, including local requirements. Requirements include sharing information including your vaccine card in the firm’s vaccine record tool, and may include mask wearing. Requirements may change in the future with the evolving public health landscape. JPMorgan Chase will consider accommodation requests as required by applicable law.
Equal Opportunity Employer/Disability/Veterans
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