J.P. Morgan Wealth Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals while utilizing the latest technology and resources of the entire firm. Our Wealth Management teams develop deep, personal relationships with clients to provide goals-based financial planning advice and to deliver sophisticated products and solutions to meet their generational wealth management needs.

J.P. Morgan Wealth Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals while utilizing the latest technology and resources of the entire firm. Our Wealth Management teams develop deep

Job responsibilities

• Monitor FINRA activities of Advisors in supported region
• Partner with Market Director to lead and develop supported region
• Lead and implement business and firm-wide initiatives (ex. Document Integrity, FINRA changes, etc)
• Oversee and manage outstanding licensing requirements in supported region
• Ensure timely and effective responses to Compliance, Supervision and Audit Examinations on a priority basis
• Address and resolve escalated supervisory issues
• Follow-up on any concerns that arise from pre-hire compliance checks
• Manage all trade corrections
• Assist in of the resolution of customer complaints
• Supervise the development and mentoring of staff at varying levels of expertise; assesses performance of staff; prepare and deliver performance evaluations; and participate in recruiting, interviewing, retaining and recommending pay actions for staff
• Review, draft or update desktop procedures as required. Effectively communicate changes to team members

Required qualifications, capabilities, and skills

• 7 years of experience in the securities / investment industry
• Licenses required to perform all job duties associated with the role: FINRA Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license
• Minimum licensing requirement: FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance license. Additional licensing requirements must be met within 120 days of hire.
• Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products and industry practices.
• Ability to provide clear, concise and timely resolution to issues.
• Demonstrate strong critical thinking, analytical research and quantitative skills.
• Strong written and verbal communications skills, including an ability to communicate with all levels of management.
• Possess excellent time management skills.
• Proven judgment and problem-resolution skills
• Ability to understand new investment products, Advisor compensation plans, firm wide policies and procedures to conduct reviews
• Ability to build relationships across business functions to obtain necessary information to conduct reviews 

Preferred qualifications, capabilities, and skills

• Bachelor’s Degree preferred
• Experience as a Supervisory or Compliance professional preferred
• Possess an advanced knowledge of FINRA, MSRB and SEC rules and regulations
• Experience working in an environment alongside Advisors preferred