Apply Now    

Wealth Management - JP Morgan Securities - Product & Investments Controls, Risk Supervisory Manager - VP

Req #: 180024600
Location: Brooklyn, NY, US
Job Category: Asset Management
Potential Referral Amount: 0 US Dollar (USD)
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 J.P. Morgan Securities Controls Management organization is comprised of the business-aligned first line of defense teams of Supervisory Management (SM), Oversight & Control (O&C), and Business Quality Assurance (BQA), that support business activities, regulatory change and new business initiatives.
The Product & Investments Controls team supports JPMorgan Securities (JPMS) in ensuring a consistent approach to interpreting rules, regulations, policies and procedures within a control environment.
The effort will focus on consolidating existing processes or creating new processes for an end-to-end supervisory oversight framework in support of J.P. Morgan Securities’ registered investment advisory, mutual funds, fixed income, and cross border businesses.
The successful candidate has the ability to implement best practices and track accountability. The candidate will effectively present data and analysis. The expectation is that the candidate is able to work in a fast-paced environment meeting daily deliverable timelines. The candidate should also be able to work independently, take initiative and think strategically to solve problems.
  • Enhance the advisory and controls environment focusing on wealth management supervision and controls
  • Understand and improve the controls in relation to wealth management equity and fixed income strategies, Rule 206(4)-7, 40 Act and the advisory platform which includes account opening and activity look back, guideline reviews, mutual fund sales practices and cross boarder activities
  • Continually improve controls by working closely with supervising managers, compliance, legal, business partners and stakeholders
  • Ensure timely and concise communication and understand the various processes and procedures performed within JPMS
  • Coordinate and supervise ongoing oversight
  • Be a leader in unstructured situations and ensure an optimal experience
  • Wealth management experience as a supervisory manager, regulator, compliance, audit or surveillance preferred
  • A solid understanding of wealth management and the products and services offered is required
  • At least 6-10 years of experience in the financial services industry
  • Excellent written and verbal communication skills
  • Team player with excellent organizational, multitasking and prioritizing skills
  • Strong attention to detail and ability to work independently
  • Strong relationship building and partnership skills
  • Ability to think strategically and execute a plan
  • Proficient PC skills
  • In-depth knowledge of financial products with an understanding of the attributes of investment products
  • B.S./B.A. degree required
  • Series 7, 66 and 9/10 required, must be able to obtain 4 and 24
Apply Now    

Join our Talent Community

Not ready to apply? Leave your information with us and we will keep you up to date with new career opportunities.

Things to note

Sign in to our application system to continue your job search or update your profile.

Current employees sign in here. Contractors sign in here.

Any information you provide is confidential and will only be viewed by our recruiters in an effort to fill open positions. In addition, the information you provide is subject to our privacy policy practices.

Please note that J.P. Morgan will not accept unsolicited approaches or speculative CVs, nor will J.P. Morgan be responsible for any related fees, from Third Party Firms who are not preferred suppliers.

The firm invites all interested and qualified candidates to apply for employment opportunities.

Need disability related assistance?

If you are a US or Canadian applicant with a disability who is unable to use our online tools to search and apply for jobs, please click here.

Important links

Click here to view the "EEO is the Law" poster.

Click here to view the "EEO is the Law" supplemental poster.

Click here to view our U.S. Pay Transparency Policy.

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.