JPMorgan Securities – Lead Supervisory Manager – New York, NY recruitment
At JPMorgan Securities "JPMS" 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, JPMorgan Securities 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.
The Lead Supervisory Manager for JPMS is responsible for management of the Regional Supervisory Managers (SMs) for JPMS.
This role will partner and works closely with the Business, Risk Control, Compliance and Legal to provide full Supervisory oversight of the business. Responsibilities will include, but are not limited to:Manage administrative aspects of SMsTraining and skill development of SMsHiring and Talent Review of SM rolesProvide guidance to SMs on consistent application of supervisory responsibilities , internal policies and proceduresPartnership with Compliance, Operations, Technology and the Business to identify key procedural and process changes that are required.
Prioritize needed changes.Partnership with Regional Directors on investment related issues in the markets they coverEscalation point for key decisions related to procedures, policies and employee corrective actionLeadership role for internal and external auditsMonthly review of SMs responsibilities to verify they are completed as required and in keeping with established proceduresEvaluate investment related complaints and errors in the marketsEvaluate SM workloads and market coverage with growth of business
Qualifications
Requires 7-15 years experience/skills as a senior Supervisory Manager with a Brokerage or Wealth Management firm; includes managing, or oversight, the activities of other Supervisory professionals.
Series 7, Series 63/65, Series 8 (910) and Series 24.
If hired, position requires successful completion Series 4 within
three months of start date.
Experienced manager with proven ability to effectively manage team membersBA/BS requiredProven ability to get organized and able to multi-task effectively with strong decision-making skillsTeam-oriented and able to interact effectively with various functions including investment professionals, marketing, risk, legal, compliance, technology and operations team members