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Senior Operations Associate - Chase Wealth Management - Central Supervision

Req #: 180023019
Location: Columbus, OH, US
Job Category: Accounting/Finance/Audit/Risk
Potential Referral Amount: 0 US Dollar (USD)
The Senior Operations Associate supports CWM Supervision and Sales Management by reviewing inbound and outbound e-mail correspondence received or sent by CWM licensed representatives.  Through use of an e-mail review application, the Senior Operations Associate will approve or reject all quarantined e-mails captured by the application and review a minimum percentage of clean e-mails - facilitating standardized oversight and assuring compliance with securities industry regulations and Firm policies.
Primary responsibilities include
*  Analyze and approve/reject inbound & outbound quarantined and clean e-mails to ensure the contents of electronic communications are appropriate with regards to Firm policies and regulatory standards
*  Monitor for concerning trends and patterns of e-mail communications, and work with Supervision/Sales management and Compliance to ensure appropriate measures are taken
*  Communicate exceptions to Registered Representatives and Supervisory Managers as they are encountered through the course of reviewing e-mails, escalating items to Compliance and senior sales management as necessary
*  Periodic distribution of reports to confirm appropriate supervisory reviews of e-mails are being conducted according to Firm policy
*  Project work and additional tasks as assigned by Supervision Management
*  At least three years of experience in the securities/investment industry strongly preferred
*  Retail brokerage experience strongly preferred
*  Proven ability to work in a dynamic team environment
*  FINRA Series 7 licensing preferred
*  Desire to obtain additional securities licenses

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