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Wealth Management - CWM Ops - Investment Servicing Sr Specialist II

Req #: 180003124
Location: Plano, TX, US
Job Category: Operations
Potential Referral Amount: 0 US Dollar (USD)
About JP Morgan Wealth Management
J.P. Morgan Wealth Management, with client assets of $2.4 trillion, is a global leader in investment and wealth management. Its clients include institutions, high-net-worth individuals and retail investors in every major market throughout the world. The division offers investment management across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. For individual investors, the business also provides retirement products and services, brokerage and banking services including trusts and estates, loans, mortgages and deposits.
Our Business
Wealth Management Operations supports the JPMorgan Private Bank and Chase Wealth Management.
  • The Private Bank is the world’s premier service provider for ultra and high net worth individuals.  Our goal is to help these affluent individuals across the globe optimize their wealth, after taxes and across generations.  Wealth Management Operations provides end-to-end support for all aspects of the client experience, working closely with client service, fiduciary, product specialty groups, third party vendors and other internal groups.
  • Chase Wealth Management encompasses our Chase Private Client (CPC) and Chase Investment Services businesses. Through a dedicated team of a banker and J.P. Morgan Advisor, Chase Private Client brings our affluent clients concierge banking from Chase and access to the investment expertise from J.P. Morgan. Chase Investment Services provides investment solutions to a broad range of Chase customers through Chase Investment Advisors.  As an Investment Servicing Specialist you will be part of the growing Chase Digital Wealth Management and Chase Wealth Management teams.
  The Operations Specialist will:
  • Act on behalf of the firm as the Principal for client onboarding activities, as required by FINRA
  • Act on behalf of the firm as the Principal for all servicing/maintenance functions for client accounts as required by FINRA
  • Ensure compliance with all department and regulatory (AML, SEC, DOL, FINRA, OCC) requirements
  • Act on behalf of the firm as the Principal for client correspondence and complaints as required by FINRA
  • Act on behalf of the firm in Supervision Officer capacity to conduct the suitability pre-acceptance reviews on new accounts. The suitability review will be based on the client’s suitability information provided on the Investment Account Application. This review will result in the acceptance of this account or the rejection of this account.
  • Supervise the maintenance of retail as well as managed brokerage accounts
  • Aid with operational controls validation and review procedure updates.
  • Support testing to validate new technology updates.
  • Assist with long term strategic planning for the department
  • Own & resolve escalated customer issues assigned to the department, through research and resolution interfacing with our various departmental clearing company partners 
  • Interface with Digital Wealth Management customers via telephone and/or Messaging applications to resolve client inquiries and/or account related issues
  • Assist with departmental metrics development and distribution
  • Assist with projects & initiatives to improve the departmental and Digital Wealth Management support model, service offerings and platform support
  • Assist Clients with escalated issue resolution, event alert notifications and general service inquiries
  • Serve as an informational resource for department peers, department managers and internal business partners as required

  • Must hold or obtain Series 7 and 24 licenses for this position
  • Brokerage experience is preferred
  • Bachelor’s Degree is preferred
  • Proven interpersonal, team-oriented skills
  • Results oriented team player
  • Strong problem solving skills
  • Exceptional customer service mentality
  • Able to organize/manage multiple priorities and projects coupled with the flexibility to quickly adapt to ever changing business needs and requirements
  • High attention to detail, excellent follow-through
  • Strong spreadsheet, database, and reporting skills.  
  • Sound decision making and judgment in resolution of moderate to complex issues
  • Ability to communicate with department managers to facilitate operations
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