JPMorgan Chase Supervision Manager - Chase Wealth Management Central Supervision - Columbus, OH in Columbus, Ohio

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 teamof Supervision Officers as they execute delegated supervisory duties

  • Ensurethat all work completed by team is within guidelines

  • Assistin overall effort to continually review and enhance tools, reports and programsused to monitor investment trades to make certain supervisory processes are asthorough as possible.

  • Helpidentify potential gaps in supervisory policies and procedures, and work withManagement and Compliance to continually enhance and document effectivepolicies and procedures

  • Interactwith Senior Management across all facets of retail brokerage business(Compliance, Legal, Sales, Operations, Administration)

  • AddressSupervision Inquiries with Registered Representatives and Supervisory Managers

  • Assistas needed in reviewing inbound & outbound quarantined e-mails and 3% ofclean e-mails

  • Appropriatelyescalate, and help resolve, supervisory issues as warranted

  • Monitorfor, and appropriately address, concerning business trends and patterns

  • TrackSupervision Inquiries and address open items to prevent excessive aging

  • Respondto Compliance and Audit Examinations on a priority basis

  • Complete employeeperformance reviews annually and continually develop staff

Skills needed

  • Excellentinterpersonal, verbal, & written communication skills

  • Strongorganization & supervisory skills

  • Strongresearch, analytical, problem solving and decision-making skills

  • Demonstratedleadership, employee development, coaching and motivational skills

  • Excellentcomputer 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

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.