J.P. Morgan Wealth Management - Central Supervisory Sr Associate - Chicago, IL

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.

Job responsibilities:

• Identify, evaluate, document, and decision 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

Required qualifications, capabilities, and skills

• Strong interpersonal, verbal, & written communication skills

• Effective organization skills & attention to detail

• Good research, analytical and problem solving skills

• Computer/navigational skills (Microsoft Office)

• Ability to make sound, risk-based decisions

• Proven ability to work in a dynamic team environment that is consistently evolving

• Effective time management skills in order to meet service level agreements and/or project deadlines

• At least one year experience in the securities/investment industry

• FINRA Series 7 minimum licensing requirement in order to be considered

• FINRA Series 9, 10, 66 (or 63 and 65), and appropriate State Life & Health Insurance license required within a specified time frame

• FINRA Series 24, 53 and 4 may replace the requirements for Series 9 and 10

Preferred qualifications, capabilities, and skills

• Retail brokerage and/or annuity experience strongly preferred

Chase is a leading financial services firm, helping nearly half of America's households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, discretionary incentive compensation which may be awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

Equal Opportunity Employer/Disability/Veterans