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Regional Supervisory Manager - Chase Wealth Management

Req #: 170111136
Location: New York, NY, US
Job Category: Accounting/Finance/Audit/Risk
Potential Referral Amount: 0 US Dollar (USD)
CWM Regional Supervisory Manager
 
Potential locations may include: New York City, Columbus, Miami, Chicago, Dallas, Houston, Phoenix, Denver, LA/Irvine, and San Francisco.
 
Chase Wealth Management:
Chase Wealth Management is a division within Consumer & Business Banking that encompasses our Chase Investment Services (CIS) and Chase Private Client (CPC) businesses.   The growth of these businesses is crucial to our commitment to expanding relationships with affluent customers, attracting new business and increasing profitability. Today, our more than 3,100 Advisors oversee $140 billion in assets.
 
Chase Investment Services (CIS) has provided investment products and solutions to Chase customers for over 20 years. With a presence in every Chase branch location, CIS Advisors and Licensed Personal Bankers make investment products and services available to over 1.6 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 over the next few years.  There are about 200 CPC locations currently with plans to expand to over 1,000 additional branches with 600+ Private Client Advisors and 1,400+ Chase Private Client Bankers nationwide in 2012.  CPC is targeted at clients who are assigned to, live near, or transact at a CPC or neighbor branch with at least $500,000 in liquid assets (includes balances not held at Chase). 
 
Role:
The Regional Supervisory Manager is responsible for managing a team of Supervisory Managers in each of their respective regions to ensure all day-to day administrative, supervisory, and operational aspects for the business are run appropriately in order to achieve our strategic objectives. 
 
Key Responsibilities include:
·         Responsible for FINRA Designated Supervisors in respective region
·         Strategically partner with Home Office to ensure business objectives are achieved 
·         Effectively resource and manage team of Supervisory Managers, who are responsible for key administrative functions, including but not limited to outstanding licensing requirements in supported region, 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
·          Ensure business and firm-wide initiatives are successfully driven by Supervisory Manager team (ex. Document Integrity, FINRA changes, etc)
·         Develops and motivates the team by providing a compelling vision of shared goals and objectives, sets high standards while empowering and holding them accountable for meeting those standards, and assesses performance and creates development opportunities to help others grow professionally
·         Seeks out ways to leverage and apply innovative ideas to enhance business results
·         Ensure day-to-day operational, compliance and supervisory 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 escalated supervisory issues
·         Facilitate communication & training to ensure all employees have needed knowledge of operations and supervisory topics to mitigate risk and enhance client experience
·         Participate on various committees and projects which convene to collaborate on significant initiatives
Qualifications:
·         10 years relevant supervisory experience in brokerage operations, supervision, compliance; prefer direct supervisory management experience of Advisors
·         Broad knowledge base and experience in Financial Services with extensive understanding of regulatory markets
·         Strong controls experience and background
·         Leadership and influencing skills to drive change
·         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
·         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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