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Operations Division Leader - Chase Wealth Management - Central Supervision

Req #: 180017949
Location: Columbus, OH, US
Job Category: Accounting/Finance/Audit/Risk
Job Description:

Chase Wealth Management – Operations Division Leader – Central Supervision


The Operations Division Leader must lead a team of Senior Operations Associates charged with reviewing various client related documents, including information related to 401k rollovers, required for account opening and account transfer purposes.


Primary responsibilities include:

- Manage a team of Senior Operations Associates as they execute delegated duties

- Ensure that all work completed by team is within guidelines

- Assist in overall effort to continually review and enhance tools, reports and programs used to monitor the review and data entry of client account opening and transfer information

- Help identify potential gaps in Firm policies and procedures, and work with Supervisory Management to continually enhance and document effective policies and procedures

- Interact with Supervisory Management as well as Compliance, Legal, Sales, Operations, Administration

- Appropriately escalate, and help resolve review and data entry issues as warranted

- Conduct quality control review and monitor for and appropriately address concerning trends and patterns

- Complete employee performance reviews annually and continually develop staff

Skills needed

- Excellent interpersonal, verbal, & written communication skills

- Strong organization & supervisory skills

- Strong research, analytical, problem solving and decision-making skills

- Demonstrated leadership, employee development, coaching and motivational skills

- Excellent computer 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)

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