J.P. Morgan Wealth Management | Vice President Central Supervisory Manager | Columbus, OH, Tempe, AZ and Plano, TX

JPMorganChase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide.  The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management.  A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands.

As a Central Supervisory Manager, you will play a key role in ensuring the integrity and suitability of our offerings. Your insights and leadership will help us deliver exceptional service and maintain our reputation for excellence. Be part of a collaborative environment that values innovation, continuous improvement, and professional growth. Make a difference for our clients, our team, and your career.

The Supervisory Manager is integral to managing regulatory obligations, operational risk, and supervisory requirements within J.P. Morgan Wealth Management. Our firm provides comprehensive strategies and expertise across asset classes through a global network of investment professionals, utilizing cutting-edge technology and resources. We focus on building deep, personal relationships with clients to offer goals-based financial planning and sophisticated solutions for generational wealth management.

Job Responsibilities

• Review next-day trades to ensure compliance with FINRA rules and industry regulations.
• Evaluate and document trades flagged as exceptions for suitability.
• Assess the suitability of select new accounts and products.
• Escalate supervisory issues with actionable recommendations for resolution.
• Collaborate with Field Supervisory Managers to resolve exceptions promptly.
• Conduct training for newly hired Central Supervisory Associates.
• Identify process improvements and drive change initiatives.
• Participate in project work and additional tasks as assigned.

Required qualifications, capabilities, and skills

• Ability to work independently and make sound, risk-based decisions.
• Excellent research, analytical, and problem-solving skills.
• Strong interpersonal, verbal, and written communication skills.
• Effective organizational skills and attention to detail.
• Proven ability to work in a dynamic, evolving team environment.
• Effective time management skills to meet service level agreements and project deadlines.
• 7+ years of relevant experience in the financial securities/investment industry.
• 5+ years of experience in a Supervision, Compliance, Surveillance, Operations, or Control capacity.
• Must hold FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65), 9/10 (4,24,53). Additional licensing requirements must be met within 120 days of hire.

Preferred qualifications, capabilities, and skills

• Bachelor’s Degree (B.A./B.S.) preferred.

Chase 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