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Wealth Management | CSG Supervisory Manager | Associate

Req #: 170098444
Location: Scottsdale, AZ, US
Job Category: Asset Management
Job Description:
JPMorgan Chase & Co. is a leading global financial services firm with assets of $2.5 trillion, over 235,000 employees and operations in over 60 countries. It operates across four business segments including Asset & Wealth Management, Corporate and Investment Banking Commercial Banking, Consumer and Community Banking.
Through collaboration, intellectual curiosity and creativity, you can accomplish extraordinary things at J.P. Morgan. Our people do outstanding work by partnering with clients and each other to generate positive change in our local and global communities every single day. We are committed to your growth and development. We offer opportunities across all of our businesses that can take you in any direction you want to go and leaders who will support you in getting there.
J.P. Morgan Asset Management, with client assets of $2.4 trillion, is a global leader in investment and wealth management. Its clients include institutions, high-net-worth individuals and retail investors in every major market throughout the world. The division offers investment management across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. For individual investors, the business also provides retirement products and services, brokerage and banking services including trusts and estates, loans, mortgages and deposits.
J.P. Morgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to Ultra High Net Worth (UHNW) individuals and families around the world. We deliver highly customized and comprehensive solutions to help clients with the many complexities they face by leveraging the commercial and investment banking capabilities of the firm.
Private Banking is involved with every facet of wealth management, including investments, wealth structuring, philanthropy, liquidity and credit management, and tax and estate planning. Our business model focuses on deep client relationships, an integrated team structure and a platform of depth and breadth.
Client Service Business Process and Control Group works to ensure the Client Service Group has a sustainable and disciplined end to end control environment identifies and escalates issues with a sense of urgency, and implements tactical and systemic solutions in partnership with CSG to ensure issues are remediated in a timely matter. In addition, the Client Service Business Control Group partners with all other control functions: Oversight and Control, Compliance, Risk, Audit, Supervisory Management and Legal.
Service Responsibilities:
  • Partners with Client Service regarding Registered Representative items, including regulatory inquiries, brokerage account activities, email review, correspondence, issues, and alert them to new compliance policies and procedures.
  • Provide support to regional SM teams in regards to operational related matters including corporate actions, manual reporting, and broader service related matters.
  • Other projects and duties as assigned.
 General Supervisory responsibilities include (but are not limited to):
  • Ensure  all incoming and outgoing correspondence (e.g., emails, hardcopy, faxes, etc.) are reviewed in a timely manner
  • Review and approve account maintenance
  • Review and approval of Brokerage and Investment Management account activity
  • Review and update team email groups for surveillance as needed.
  • Review and assist with registration updates and employee pre-hires.
  • Approve updates to account information as needed.
  • Assist and coordinate internal examinations conducted by Compliance and Internal Audit. Responsibilities include representing management in demonstrating adherence to internal policies and procedures, as well as providing all necessary documentation in accordance with internal examiners' requests.
  • Assist in the preparation for regulatory audits.
  • Analyze and approve accounts to transact in new issues.
  • Assist in the review, response and escalation of client complaints.
  • Answer & respond to surveillance related inquiries from compliance.
Requirements and Qualifications
  • Requires 2-5 years experience in a Supervisory Management, Client Service, or Compliance capacity with a brokerage or wealth management firm.
  • Requires the Series 7, 63, 24
  • Teamwork and personal effectiveness: strong time management skills, organization, adaptability, ability to coach and train, and attention to detail
  • Strong interpersonal communication and listening skills are required.
  • Strong understanding or interest around regulatory requirements and best practices for Brokerage and Private Bank environments.
  • Strong organization and follow up skills.
  • Ability to make sound decisions and judgments based on risk factors.
  • Ability to effectively communicate with all levels of employees, including senior managers within and outside of the Private Bank 
  • BA/BS required
  • Spanish fluency preferred but not required
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