Job Description

Wealth Management Supervision Investment Advisory Sales Practice - Manager Executive Director (Chicago, IL or Columbus, OH)

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.

The Wealth Management Supervision Investment Advisory Sales Practice Manager will report to the Supervision Teams Head of Sales Practices and will be responsible for a team tasked with identifying and reviewing potential sales practice issues related to investment advisory activities. The reviews will be full reviews of all investment advisory activity or specific account reviews. The reviews will pertain to the JPMorgan Wealth Management and U.S. Private Bank Brokerage businesses.

Essential Job Functions:

* Intake, assessment, and assignment of items received for review.
* Actively supervise and support review team in the scope, planning, execution, and completion of complex investment advisory sales practice and account reviews.
* Managing multiple, complex reviews at a time.
* Monitor and analyze progress of reviews as well as staff productivity to ensure timely initiation and completion of reviews.

Provide guidance to review team by assisting with identifying patterns and trends in reviews and reviews that may have impact to more than one customer, more than one advisor, a region and/or national impact.

Detailed review of final reports for completeness, accuracy, thoroughness and appropriate conclusion.

Supervise and/or participate, where necessary, in interviews with parties relevant to the review.

Help to provide solutions and action plans for resolutions of open items.

Effectively and timely communicate to management matters requiring escalation and overall review progress.

Ability to interact with Senior Management across all facets of retail brokerage business (Compliance, Legal, Sales, Operations, Administration).

Present review findings (orally and/or in writing) to management and other potential constituents in an organized, concise and timely fashion.

Develop subject matter expertise of securities rules and regulations through knowledge, research and training.

Provide support in firm disciplinary proceedings.

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

Supervises the development and mentoring of staff at varying levels of expertise; assesses performance of staff; prepares and delivers performance evaluations; and participates in recruiting, interviewing, retaining and recommending pay actions for staff.

Qualifications

* Possess a strong level of knowledge of relevant fiduciary and investment advisory securities rules, including SEC Investment Advisers Act of 1940, regulations, guidelines, securities products and industry practices, as well as Employee Retirement Income Security Act (ERISA) and the Internal Revenue Code.

Demonstrate strong critical thinking, analytical research and quantitative skills.

Strong written and verbal communications skills, including an ability to gather evidence through the use of telephone and in-person interviews.

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 degree 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.

Three to five years of experience managing a team of employees.

Experience conducting broker/dealer sales practice reviews preferred.

Five to ten years of securities, investment industry experience.

Knowledge of FINRA, MSRB and SEC rules and regulations.

* Excellent oral and written communication skills.
* Possess excellent time management skills.

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

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.