Wealth Management - JP Morgan Securities - Product & Investments Controls, Risk Supervisory Manager - VP
Req #: 180024600
Job Category: Asset Management
At JPMorgan Securities "JPMS" we have been helping high-net-worth individuals and families build and manage their wealth for more than 50 years. Led by an exclusive group of Investment Professionals throughout the United States, JPMorgan Securities offers clients a broad suite of transactional, wealth management and investment advisory services. Our Investment Professionals-among the most experienced and creative in the industry-excel at leveraging the vast resources of one of the world's leading global financial institutions on behalf of our clients.
The J.P. Morgan Securities Controls Management organization is comprised of the business-aligned first line of defense teams of Supervisory Management (SM), Oversight & Control (O&C), and Business Quality Assurance (BQA), that support business activities, regulatory change and new business initiatives.
The Product & Investments Controls team supports JPMorgan Securities (JPMS) in ensuring a consistent approach to interpreting rules, regulations, policies and procedures within a control environment.
The effort will focus on consolidating existing processes or creating new processes for an end-to-end supervisory oversight framework in support of J.P. Morgan Securities’ registered investment advisory, mutual funds, fixed income, and cross border businesses.
The successful candidate has the ability to implement best practices and track accountability. The candidate will effectively present data and analysis. The expectation is that the candidate is able to work in a fast-paced environment meeting daily deliverable timelines. The candidate should also be able to work independently, take initiative and think strategically to solve problems.
- Enhance the advisory and controls environment focusing on wealth management supervision and controls
- Understand and improve the controls in relation to wealth management equity and fixed income strategies, Rule 206(4)-7, 40 Act and the advisory platform which includes account opening and activity look back, guideline reviews, mutual fund sales practices and cross boarder activities
- Continually improve controls by working closely with supervising managers, compliance, legal, business partners and stakeholders
- Ensure timely and concise communication and understand the various processes and procedures performed within JPMS
- Coordinate and supervise ongoing oversight
- Be a leader in unstructured situations and ensure an optimal experience
- Wealth management experience as a supervisory manager, regulator, compliance, audit or surveillance preferred
- A solid understanding of wealth management and the products and services offered is required
- At least 6-10 years of experience in the financial services industry
- Excellent written and verbal communication skills
- Team player with excellent organizational, multitasking and prioritizing skills
- Strong attention to detail and ability to work independently
- Strong relationship building and partnership skills
- Ability to think strategically and execute a plan
- Proficient PC skills
- In-depth knowledge of financial products with an understanding of the attributes of investment products
- B.S./B.A. degree required
- Series 7, 66 and 9/10 required, must be able to obtain 4 and 24