J.P. Morgan Wealth Management - Vice President - Supervisory Manager - Louisville / Lexington, KY
Company: JPMorgan Chase & Co.
Location: Louisville
Posted on: April 1, 2026
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Job Description:
Description J.P. Morgan Wealth Management provides individuals,
advisors and institutions with strategies and expertise that span
the full spectrum of asset classes through our global network of
investment professionals while utilizing the latest technology and
resources of the entire firm. Our Wealth Management teams develop
deep, personal relationships with clients to provide goals-based
financial planning advice and to deliver sophisticated products and
solutions to meet their generational wealth management needs. As a
Supervisory Manager in Chase Wealth Management, you will exhibit
leadership and operational expertise when performing designated
supervisory duties to oversee a territory of Financial Advisors.
You will be responsible for managing complex, high risk escalations
from end-to-end and outreach to executive level stakeholders. Job
responsibilities Monitor and analyze progress of active account and
book reviews as well as monitor staff productivity Recognize
opportunities for addressing issues, risks and exposures. Engage
line of business senior leadership to action identified issues
Ensure team’s complete understanding of their responsibilities in
order to perform high quality work and able to adapt to the
changing regulatory environment Understand system logic used in
conducting risk based reviews. Further develop and refine the rules
based on prior findings Review, draft or update desktop procedures
as required. Effectively communicate changes to team members
Develop subject matter expertise of securities rules and
regulations through knowledge, research and training Develop and
implement account reviews for the purposes of monitoring for
ongoing suitability of the investments and activity in a client’s
account Conduct Advisor book reviews to identify any trends or
patterns requiring further review that may have impact to more than
one customer Identify and escalate potential issues to the
appropriate parties on matters requiring further action Work with
the Sales Practice Review team to escalate potential issues to the
Disciplinary Action Forum Supervise the development and mentoring
of staff at varying levels of expertise; assesses performance of
staff; prepare and deliver performance evaluations; and participate
in recruiting, interviewing, retaining and recommending pay actions
for staff Required qualifications, capabilities, and skills 7 years
of experience in the securities / investment industry Licenses
required to perform all job duties associated with the role: FINRA
Series 7, 66 (63/65), 9/10 (4,24,53), appropriate State Life &
Health Insurance license Minimum licensing requirement: FINRA
Series 7 and one or more of the following licenses: FINRA Series 66
(63/65), 9/10 (4,24,53), appropriate State Life & Health Insurance
license. Additional licensing requirements must be met within 120
days of hire. Possess a competent level of knowledge of relevant
securities rules, regulations, guidelines, securities products and
industry practices. Ability to provide clear, concise and timely
resolution to issues. Demonstrate strong critical thinking,
analytical research and quantitative skills. Strong written and
verbal communications skills, including an ability to communicate
with all levels of management. Possess excellent time management
skills. Proven judgment and problem-resolution skills Ability to
understand new investment products, Advisor / Banker compensation
plans, firm wide policies and procedures to conduct reviews Ability
to build relationships across business functions to obtain
necessary information to conduct reviews Preferred qualifications,
capabilities, and skills Bachelor’s Degree preferred Experience as
a Supervisory or Compliance professional preferred Possess an
advanced knowledge of FINRA, MSRB and SEC rules and regulations
Experience working in an environment alongside Advisors
preferred
Keywords: JPMorgan Chase & Co., Lexington , J.P. Morgan Wealth Management - Vice President - Supervisory Manager - Louisville / Lexington, KY, Accounting, Auditing , Louisville, Kentucky
