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Chase Wealth Management - Supervision Analyst II - Supervision and Sales Management

Req #: 180013153
Location: Columbus, OH, US
Job Category: Accounting/Finance/Audit/Risk
Job Description:
  • Assist Supervision Management in identifying and escalating potential areas of risk.
  • Identify opportunities to simplify and improve the quality, content and format of initiatives; includes proactive interaction with other departments and lines of business to define suitability requirements, business needs, technology requirements and implement solutions.
  • Identify Key Risk Indicator (KRI) requirements and work with owners to develop appropriate tracking and thresholds.
  • Understand existing and planned CWM systems and platforms and participate in the new business initiatives process to evaluate new technology roll-outs and identify potential risk.
  • Testing of new and existing supervisory controls prior to implementation and on an on-going basis
  • Define and evaluate metrics to measure trends and potential risk.
  • Partner with CWM business units including Information Technology, Operations, Legal, Risk, Compliance and the Sales Field.
  • Assist in evaluating supervisory transaction reviews in a quality control capacity.
  • Assist in working with Controls team to evaluate Risk & Control Self Assessments (RCSAs).
  • Other projects and tasks as assigned by Supervision Management.
  • FINRA Series 7  and 24 minimum licensing requirement in order to be considered
  • FINRA Series 66 (or 63 and 65), 53 and 4 in addition to Life Insurance license required within 90 days
  • FINRA Series 24, 53 and 4 may replace the requirements for Series 9 and 10
  • Bachelor Degree preferred. (BA/BS) Preferably in Finance, Accounting, Mathematics or Business.
  • 3-5 years of experience in risk management, Operations, or Information Technology Risk in the financial sector, preferably with a broker-dealer or wealth management business.
  • In-depth understanding of business technologies with a focus on broker-dealer and wealth management systems in the financial services industry
  • Strong analytical and problem solving skills.
  • Ability to develop compelling analytical reporting and presentations.
  • Ability to build and maintain relationships across the wider firm.
  • Detail-oriented and ability to work independently.
  • Proven ability to work in a dynamic team environment.
  • Strong computer skills: Excel, PowerPoint, Word, Access. 
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