J.P. Morgan Wealth Management - Vice President Supervisory Manager - New York, NY

At J.P. Morgan Advisors 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, J.P. Morgan Advisors 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.As a Supervisory Manager in J.P. Morgan Advisors, you will exhibit leadership and operational expertise when performing designated supervisory duties to oversee a territory of Financial Advisors. You will be responsible for managing complex, high risk escalations from end-to-end and outreach to executive level stakeholders.Job responsibilitiesMonitor investment activities of registered and non-registered employees of J.P. Morgan AdvisorsReview middle markets, institutional, and retail customer account activity, sales practices, suitability, documents, marketing material and customers' statements to ensure compliance with various regulatory and legal requirementsMonitor the trading practices of Advisors with respect to regulatory requirements and internal policyAssist in the on/off boarding of J.P. Morgan Advisors staffReview client inquiries, issues, and complaints and complete a thorough investigation and provide resolution. This involves Compliance, Legal, Portfolio Management Risk Management & Control along with Senior Management in the process of reaching an appropriate resolutionServe as point of contact for resolution of any questions or issues that may occur during the course of a business day from the various oversight groups. Be able to provide clear, concise, and timely resolution to these issues as they ariseProvide policy and procedural training to new employees, assist with continuing education requirements, and provide special training as warranted on specific topics. Assist Compliance in the dissemination of information relating to changes in policy and regulatory rules. Discuss Compliance and new product lines with sales personnelAct as the main point contact for internal examinations conducted by Compliance and Internal Audit. This includes representing management in demonstrating adherence to internal policies and procedures, as well as maintaining and providing all necessary documentation in accordance with internal examiners' requests Resolve order errors including identifying circumstances, taking market action when necessary to resolve the error, and completing the error reporting and then assigning responsibilities for the errors as necessary Review client accounts as outlined by procedures; follow up on issues or make client contact as warranted and in accordance with supervisory guidelines and maintain these records of the review processConfirm that written consent of the Office of the Secretary is obtained before employees engage in outside speaking engagements; approve lectures or interviews prior to activity and maintain a log of the activity. Approve personal securities transactions for regional employees as required by firm policy and review and resolve personal trading policy violations with Compliance and Regional Director as requiredRequired qualifications, capabilities, and skills7+ years of experience in the securities / investment industryLicenses required to perform all job duties associated with the role: FINRA Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance licenseA valid and active Series 4 and appropriate State Insurance licenses are required or must be obtained within 90 days of starting in the role as a condition of employment Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products and industry practices.Ability to provide clear, concise and timely resolution to issues.Demonstrate strong critical thinking, analytical research and quantitative skills.Strong written and verbal communications skills, including an ability to communicate with all levels of management.Possess excellent time management skills.Proven judgment and problem-resolution skillsAbility to understand new investment products, Advisor compensation plans, firm wide policies and procedures to conduct reviewsAbility to build relationships across business functions to obtain necessary information to conduct reviewsPreferred qualifications, capabilities, and skillsBachelor’s Degree preferredExperience as a Supervisory or Compliance professional preferredPossess an advanced knowledge of FINRA, MSRB and SEC rules and regulationsExperience working in an environment alongside Advisors preferredChase is a leading financial services firm, helping nearly half of America’s households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs. We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions.We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process. We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.Equal Opportunity Employer/Disability/Veterans Our Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing. We’re proud to lead the U.S. in credit card sales and deposit growth and have the most-used digital solutions – all while ranking first in customer satisfaction.We are here to help you manage your money with checking, savings and credit cards, combining the latest banking technology with comprehensive solutions to meet the financial needs of nearly half of U.S. households. Full timePosting Date: 2026-02-20