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New Accounts Supervision Officer - Chase Wealth Management Central Supervision

Req #: 170096515
Location: Columbus, OH, US
Job Category: Accounting/Finance/Audit/Risk
Potential Referral Amount: 1000 US Dollar (USD)
The Supervision Officer supports Supervisory Managers in the field by executing designated supervisory duties, thereby facilitating standardized oversight and enhanced focus on the investment sales process, while assuring compliance with securities industry regulations and firm policies
 
Primary responsibilities include:
*  Identify, evaluate and document trades flagged as exceptions for suitability in accordance with FINRA rules and industry regulations
*  Review and assess suitability associated with select new accounts and/or products
*  Escalate supervisory issues as necessary to Supervisory Managers in the field, providing relevant recommendations as to appropriate actions to be taken
*  Partner with Supervisory Managers in the field to help them resolve exceptions in a timely manner
*  Review inbound & outbound flagged and/or unflagged e-mails to ensure the content of electronic communications are appropriate and meet regulatory standards
*  May conduct outbound Quality Assurance calls to clients to verify understanding of the risks and fees associated with certain types of securities transactions
*  Project work and additional tasks as assigned by Central Supervision Management
Skills needed
*  Strong interpersonal, verbal, & written communication skills
*  Good organization skills & attention to detail
*  Good research, analytical and problem solving skills
*  Computer/navigational skills (Microsoft Office)
*  Effective time management skills in order to meet service level agreements and/or project deadlines
 
Qualifications
At least one to three years of experience in the securities/investment industry required
Retail brokerage and/or annuity experience strongly preferred
Proven ability to work in a dynamic team environment
FINRA Series 7 minimum licensing requirement in order to be considered
 
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