Job Description

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands.

Asset & Wealth Management Background: With client assets under supervision of $2.3 trillion and assets under management of $1.7 trillion, J.P. Morgan Asset & Wealth Management (AWM) is one of the largest asset and wealth managers in the world. AWM offers global investment management in equities, fixed income, real estate, hedge funds, private equity, liquidity, and multi-asset solutions. It also provides trust and estate, banking, and brokerage services to high net worth clients, and retirement services for corporations and individuals.

As a J.P. Morgan Asset & Wealth Management employee, you will be part of a company that makes a real difference every day for our customers, our communities and ourselves. With a focus on customer service, you will put others first, do what is right and create solutions that make lives better. We invite you to build your career on our strong foundation and help shape what is next for you and for us.

The Active Account Supervisory Officer will report to the Active Accounts Manager and will be responsible for reviewing active account and conducting book reviews.

Essential Job Functions:

- Complete account reviews for the purposes of monitoring for ongoing suitability of the investments and activity in a clients account.

- Conduct Advisor book reviews to identify any trends or patterns requiring further review that may have impact to more than one customer.

- Identify and escalate potential issues to the appropriate parties on matters requiring further action.

- Complete both book reviews and active account reviews with limited supervision and guidance.

- Create and present reports to senior management across lines of business.

- Work with the Sales Practice Review team to escalate potential issues to the Disciplinary Action Forum.

- Ability to understand new investment products, Advisor/Banker compensation plans, firm wide policies and procedures to conduct reviews.

- Reference previous client reviews to determine whether the specific issues are reoccurring or if they have been appropriately addressed.

- Evidence of reviews and documentation of the action taken for each active account or book review.

- Ability to build relationships across business functions to obtain necessary information to conduct reviews.

- When required, the ability to have conversations with clients.

- Use computer resources and software applications for data and information analysis pursuant to department procedures.

Qualifications

- 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.

- Possess excellent time management skills.

- Strong written and verbal communications skills, including an ability to communicate with all levels of management.

- Strong organizational skills with exceptional attention to detail.

- Familiarity with the use of computer programs with the full suite of office software applications.

Education/Experience Requirements:

- Bachelors degree is required. Major in Finance, Accounting, Business Administration, or related field preferred.

- Advanced knowledge of securities industry rules, regulations and guidelines and significant and equivalent experience in a directly related securities industry position may substitute for bachelors degree.

- Experience as a Supervisory or Compliance professional preferred.

- Three to five years of securities, investment industry experience.

- Knowledge of FINRA, MSRB and SEC rules and regulations.

- Excellent oral and written communication skills.

- Demonstrated communications ability and computer skills (e.g. Access, Excel, Word, and PowerPoint).

- FINRA licensing preferable, such as Series 7, 9/10 (or 4, 24, and 53), 66 (or 63/65)

Working Conditions:

- Office environment.

- Work outside of business hours may be required.

- Some travel may be required.

Work expectations include timely and high quality productivity.

Other Responsibilities:

- Special projects as assigned.