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LOB Supervisory Manager Co - Head

Dallas, TX, USA | J.P. Morgan

  • Industry:
    Financial Services
  • Position Type:
  • Functions:
    Financial Services Professional
    General Management
    Operations / Production
  • Experience:
    10-12 years
Job Description:
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· Effectively resource and lead a team of Branch SMs who are responsible for key risk and supervisory functions, including but not limited to escalated transaction inquiries, escalated account inquiries, surveillance inquiries, outstanding licensing requirements, effective execution of e-mail reviews and monthly account reviews, concerns that arise from pre-hire compliance checks, trade corrections, outside business activities, and coordination of customer complaints.

· Partner with Regional Directors (RDs), Senior management, department heads, Compliance, Risk , Legal Registered Representatives (RRs) and other staff to provide advice and promote a culture of regulatory compliance throughout the Firm

· Use vision, analysis and first-hand manager coaching experience to unlock business problems, cull information/trends and escalate nationally to build compelling fact based recommendations  

· Create a culture of risk and control that acts with appropriate understanding and urgency; ultimate responsibility to safeguard our customers and business to:

-Partner across Wealth Management SM team to provide intellectual leadership and solutions for ongoing controls-related issues

-Drive a culture of high performance standards through adherence to policy, satisfactory audits and consistent execution of procedures & controls

-Encourage self-identification of issues and partner closely with LOB Control Partners and LOB Management on remediation of issues

· Set a people agenda to attract, retain and develop a high-performing, diverse and inclusive workforce. Identify and develop SMs that perform at a high level. Performance Developmentand compensation planning for SMs

· Develop and motivate the team by providing a compelling vision of shared goals and objectives; set high standards while empowering and holding team and individuals accountable for meeting those standards; assess performance and create development opportunities to help others grow professionally.

· Seek out ways to leverage and apply innovative ideas to enhance business results

· Ensure day-to-day operational, compliance and supervisory and risk aspects of the business are functioning

· Ensure timely and effective responses to compliance surveillance/testing and audit examinations

· Establish operations goals, plans, and infrastructure with a focus on process efficiency and service excellence

· Provide approval when needed to resolve any supervisory issues escalated to divisional level

· Facilitate communication & training to ensure all employees have needed knowledge of operations and supervisory topics to mitigate risk and enhance client experience

· Ownership of or participate in various WM work-streams and initiatives

· Participate/direct divisional level New Hire Working Group

· Review of divisional sales practice trends and patterns

· Work with LOB Management on RR investigations and disciplinary issues where appropriate

· Bachelor Degree with 10+ years of relevant supervisory experience in brokerage operations, supervision, compliance; prior management of managers experience required.

· Broad knowledge base and experience in Financial Services with extensive understanding of applicable regulatory regimes (OCC, FINRA, SEC, DOL in particular)

· Strong controls experience and background

· Superior communication and people management skills

· Leadership skills in change management

· Excellent presentation skills, effective written and verbal communication skills; must be comfortable dealing with senior management

· Highly organized, strategic and proactive thinker with superior complex problem resolution skills to support firm’s business objectives

· Ability to overcome obstacles to cooperation and to foster harmonious relations. The successful candidate must be strong and self-assured when dealing with adversity and difficult personalities, and conversely sensitive to the needs and problems of the business to ensue successful resolution to issues and problems requiring resolution and education.

· Experience with and understanding of 12 CFR 9 and the Fiduciary obligations thereunder

· FINRA Series 7, 24, 9/10 (or equivalent) and 66 (or equivalent) required in addition to meeting FINRA continuing education requirements

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