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Central Supervisory Manager - VP

Chicago, IL, USA | J.P. Morgan

  • Industry:
    Financial Services
  • Position Type:
    Full-Time
  • Functions:
    Financial Services Professional
  • Experience:
    3-5 years
Job Description:
141 people have viewed this job

FINRA designated Supervisor for AWM registered personnel  

Strategically partner with Field Management

Lead and implement business and firm-wide initiatives

Ensure day-to-day supervisory aspects of the business are functioning

Ensure timely and effective responses to Compliance, Supervision and Audit Examinations

Ensure effective resolution of e-communication and transaction-related inquiries

Manage trade corrections requirements

Review and approve any outside business activities

Assist in of the resolution of customer complaints

Partner with Field Supervisory Managers in the supervision of registered personnel

Conduct outbound quality assurance calls to clients

Project work and additional tasks as assigned by Central Supervision Management

Skills Needed

Strong interpersonal, verbal, & written communication skills

Good organization skills & attention to detail

Good research, analytical and problem solving skills

Computer/navigational skills (Microsoft Office)

Effective time management skills in order to meet service level agreements and/or project deadlines

Qualifications

At least three years of experience in the securities/investment industry required

Retail brokerage and/or annuity experience strongly preferred

Proven ability to work in a dynamic team environment that is consistently evolving

FINRA Series 7 minimum licensing requirement in order to be considered

FINRA Series 9, 10, 66 (or 63 and 65), and Life Insurance license required within a specified time frame

FINRA Series 24, 53 and 4 may replace the requirements for Series 9 and 10


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