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Chase Wealth Management – Divisional Supervisory Manager

Req #: 170104524_3
Location: Dallas, TX, US
Job Category: Accounting/Finance/Audit/Risk
Potential Referral Amount: 1000 US Dollar (USD)
Chase Wealth Management – Divisional Supervisory Manager
 
Chase Wealth Management is a division within Consumer & Community Banking that provides investment products to Chase clients. The growth of this business is crucial to our commitment to expanding relationships with affluent customers, attracting new business and increasing profitability. Today, our ~3,100 Advisors oversee $250+ billion in assets.
 
Chase Wealth Management has provided investment products and solutions to Chase customers for over 20 years. With a presence in most Chase branch locations, Advisors make investment products and services available to over 1.7 million customers seeking solutions to their long-term financial goals, such as retirement, funding a college education and many other investment strategies.  
 
Chase Private Client (CPC) is one of the firm's key growth priorities aimed at addressing the needs of our most affluent clients.  There are approximately ~3,000 CPC locations currently with plans to continue growing appropriately over time.  Staffing those CPC locations are more than 2,500 Private Client Advisors and 5,000 Chase Private Client Bankers.  CPC is targeted at clients who are assigned to, live near, or transact at a CPC branch and have at least $250,000 in liquid assets. 
 
The Role:
The Divisional Supervisory Manager is responsible for leading a team of Regional Supervisory Managers in each of their respective territories to ensure all day-to day risk, supervisory, and operational aspects for the business are run appropriately in order to achieve our strategic objectives. 
 
Key Responsibilities include:
  • Effectively resource and lead a team of Regional Supervisory Managers (RSMs) and Supervisory Managers (SMs), who are responsible for key risk and supervisory functions, including but not limited to escalated transaction inquiries, escalated account inquiries, surveillance inquiries, outstanding licensing requirements, effective execution of e-mail reviews and monthly account reviews, concerns that arise from pre-hire compliance checks, trade corrections, outside business activities, and coordination of customer complaints.
  • Performance reviews of RSMs and comp planning within the territory
  • Partner with Divisional Directors (DDs), executive management, department heads, Regional and Market Directors (RDs/MDs), Registered Representatives (RRs) and other staff to provide advice and promote a culture of regulatory compliance throughout the Firm
  • Use vision, analysis and first-hand manager coaching experience to unlock business problems, cull information/trends and escalate nationally to build compelling fact based recommendations  
  • Create a culture of risk and control that acts with appropriate understanding and urgency; ultimate responsibility to safeguard our customers and business to:
    • Partner across the Consumer Bank leadership team to provide intellectual leadership and solutions for ongoing controls-related issues
    • Drive a culture of high performance standards through adherence to policy, satisfactory audits and consistent execution of KYC & KYP
    • Encourage self-identification of issues and remediation of issues
  • Strategically partner with Home Office to ensure business objectives are achieved 
  • Set a people agenda that encompasses firm-wide and local focus to attract, retain and develop a high-performing, diverse and inclusive workforce. Identify and develop RSMs and SMs that perform at a high level.
  • Develop and motivate the team by providing a compelling vision of shared goals and objectives; set high standards while empowering and holding team and individuals accountable for meeting those standards; assess performance and create development opportunities to help others grow professionally.
  • Seek out ways to leverage and apply innovative ideas to enhance business results
  • Ensure day-to-day operational, compliance and supervisory and risk aspects of the business are functioning
  • Ensure timely and effective responses to compliance, supervision and audit examinations on a priority basis
  • Establish operations goals, plans, and infrastructure with a focus on process efficiency and service excellence
  • Provide approval when needed to resolve any supervisory issues escalated to divisional level
  • Partner with 2 or more DDs to lead the business together and assist the DD in building long term, profitable growth of the business.
  • Facilitate communication & training to ensure all employees have needed knowledge of operations and supervisory topics to mitigate risk and enhance client experience
  • Ownership of or participate in various CWM work-streams and initiatives
  • Participate/direct divisional level New Hire Working Group
  • Approval of DD, RD, RSM correspondence, complaint reporting and escalations, and seminar and retail communications
  • Review of divisional sales practice trends and patterns
  • Work with Field Management on RR investigations and disciplinary issues where appropriate
Qualifications
 
  • Bachelor Degree with 10+ years of relevant supervisory experience in brokerage operations, supervision, compliance; prior management of managers experience required.
  • Broad knowledge base and experience in Financial Services with extensive understanding of applicable regulatory regimes (OCC, FINRA, SEC, DOL in particular)
  • Strong controls experience and background
  • Superior communication and people management skills
  • Leadership skills in change management
  • Excellent presentation skills, effective written and verbal communication skills; must be comfortable dealing with senior management
  • Highly organized, strategic and proactive thinker with superior complex problem resolution skills to support firm’s business objectives
  • Ability to overcome obstacles to cooperation and to foster harmonious relations. The successful candidate must be strong and self-assured when dealing with adversity and difficult personalities, and conversely sensitive to the needs and problems of the business to ensue successful resolution to issues and problems requiring resolution and education.
  • Experience with and understanding of 12 CFR 9 and the Fiduciary obligations thereunder
  • FINRA Series 7, 24, 9/10 (or equivalent) and 66 (or equivalent) required in addition to meeting FINRA continuing education requirements
 
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