J.P. Morgan Wealth Management - Vice President Central Supervisory Brokerage Manager - Tempe, AZ, and/or Plano, TX

Job Description

At JPMorgan Chase, we empower clients, support employees, and uphold diversity and inclusion. We value innovation, collaboration, and professional growth while delivering exceptional customer service and cultivating strong relationships.

As the Central Supervisory Brokerage Manager VP within J.P. Morgan Wealth Management, you will oversee regulatory obligations, manage operational risk, and fulfill supervisory requirements. You will collaborate with Field Supervisory Managers, deliver training to new associates, and promote process improvements. Your efforts will help ensure compliance with industry regulations while supporting the firm’s goals-based financial planning and wealth management solutions.

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.

About Us

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

About the Team

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.