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Wealth Management - Private Bank - Supervisory Manager – Associate – Los Angeles, CA

Req #: 180032572
Location: Los Angeles, CA, US
Job Category: Asset Management
Potential Referral Amount: 0 US Dollar (USD)
J.P. Morgan Private Bank has been helping the world’s wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized, comprehensive financial solutions for more than 160 years. J.P. Morgan is a global leader in asset and wealth management with assets under supervision of $2.1 trillion and assets under management of $1.4 trillion. With Private Bank advisors in 110 offices in 25 states and 20 countries, the Private Bank provides clients with a global perspective delivered through a local, dedicated team of specialists focused on fundamental wealth management disciplines, including investment management, wealth planning, philanthropy, credit and banking.
The Supervisory Manager coordinates and works closely with Private Banking, Risk, Control, Compliance and Legal on issues that arise in the regional teams. 
The Supervisory Manager will be responsible for the administrative and reporting requirements necessary to demonstrate daily supervision for the Supervisory Management team.  
Responsibilities include:
  • Review all incoming and outgoing correspondence
  • Review all incoming and outgoing faxes
  • Review designated emails
  • Analyze and review accounts for suitability concerns on a monthly basis
  • process cancel/corrects
  • Assist with the  trading and processing of  errors
  • Update account information as needed
  • Approve suitability of accounts to participate in Private Equity, Hedge Funds and Structured Products
  • Assist in the preparation for all regulatory and internal audits
  • Review and approve the opening of new accounts
  • Analyze and approve accounts to transact in new issues
  • Assist in the review and response of client complaints
  • Review and work with Compliance of Marketing Materials
  • Answer surveillance related inquiries from compliance
  • Approve employee personal trading requests
  • Review and approve gift requests
  • Review and  approve outside business requests
  • Review and update team email lists for the surveillance as needed
  • Review and assist with registration updates and employee pre-hires


  • Strong interpersonal communication and listening skills are required.  Candidate must be comfortable speaking in front of groups and on a "one-on-one" basis. 
  • Strong understanding of regulatory requirements and best practices for Brokerage and Private Bank environment.
  • Strong organization and follow up skills.  Ability to work well on an integrated team
  • Comfortable making decisions independently and dealing with conflict in high stress situations.
  • Ability to effectively communicate with all levels of personnel within the Private Bank. 
  • Able to provide supervisory coverage across regional teams as needed.
  • BA/BS required
  • Series 7, Series 63, Series 8 (9&10), 24
  • If hired, you will be required to pass Series 4 within four months of start date.  Will consider candidate without the S24 but candidate will be required to pass the S24 within three months of start date. 
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