Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.6 trillion and operations in more than 60 countries We serve more than 50 million consumers and small businesses through more than 5,600 bank branches, 18,700 ATMs, credit cards, mortgage offices and online and mobile banking as well as through relationships with auto dealerships.
Within Chase, 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 a Chase employee, you will be part of a company that makes a real difference every day for our customers, our communities and ourselves. With a focus on customer service, you will put others first, do what is right and create solutions that make lives better. We invite you to build your career on our strong foundation and help shape what is next for you and for us.
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
* 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
* 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
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
FINRA Series 9, 10, 66 (or 63 and 65), and Ohio Life Insurance license required
FINRA Series 24, 53 and 4 may replace the requirements for Series 9 and 10