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Wealth Management - Central Risk Supervision Manager - Associate - Brooklyn, NY

Req #: 180038271
Location: Brooklyn, NY, US
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)
JP Morgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of more than $2 trillion and operations in more than 60 countries. We serve millions of U.S. consumers and many of the world's most prominent corporate, institutional and government clients. We are a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management and private equity.
J.P. Morgan Wealth Management:
J.P. Morgan Wealth Management (WM) delivers the highest quality advice, service, capabilities and products to high-net-worth individuals and families in every major market throughout the world. We deliver highly customized and tailored solutions to help clients with the many complexities they face by leveraging the commercial and investment banking capabilities of the firm. WM addresses every facet of wealth management from investment management and brokerage to tax and estate planning, credit, raising of capital, and specialty wealth advisory services.
Description of Role and Responsibilities:  
The Supervisory Manager will work closely with Wealth Management/JPMS Market and Product & Investment Supervisory Managers to provide oversight support related to its brokerage, investment advisory, and banking businesses. Responsibilities include, but are not limited to:
  • Support administration of electronic communications queue management.
  • Escalate potential issues to the appropriate Market and/or Product & Investment Supervisory Manager(s) to resolve, and/or partner with relevant business contacts to address.
  • Analyze and review post-trade exception reports for brokerage and advisory trading activity in accordance with applicable policies and procedures, and identify potential issues for resolution. Exception reports include those related to options activity, penny stocks, commissions, municipal syndicate, and order tickets.
  • Provide operational and administrative support to Market Supervisory Managers for tasks related to employee off boarding/licensing, client contact, account updates.
  • Requires 2-5 years of experience in a Supervision, Compliance or Surveillance capacity with a brokerage or wealth management firm
  • Ability to make sound decisions and risk-based judgments 
  • Strong interpersonal communication, organization, and research skills and a demonstrated ability to bring issues to resolution
  • BA/BS required
  • Series 7/63/24/ 9/10
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