J.P. Morgan Asset & Wealth Management offers premier investment management and private banking solutions, managing $4 trillion in client assets. Asset Management provides comprehensive strategies across asset classes, while Wealth Management helps clients intentionally manage their wealth to achieve their goals. Our teams build deep relationships to offer personalized financial planning and sophisticated solutions. Leveraging cutting-edge technology and firm-wide resources, Wealth Management serves clients globally through J.P. Morgan Private Bank and J.P. Morgan Securities in the US. 

The Supervisory Management Team supports the business in managing regulatory obligations and operational risk.

Job Summary
As an Online Investing Supervisory Manager in the Supervisory Management Team, you will exhibit diligent leadership and proactive operational expertise. You will review and execute supervision tasks and initiatives, developing and implementing organizational strategies. You will liaise with digital project and program management teams, partnering with stakeholders across Compliance, Risk, Controls, Operations, and Technology. Your role will involve executing process changes and leading efforts to identify process improvements, serving as a point of escalation for stakeholders and the broader team.

Job Responsibilities

Monitor Online Investing accounts to ensure compliance with Written Supervisory Procedures.Partner with business units to identify and analyze outstanding and potential issues, risks, and exposures, implementing timely solutions.Engage senior leadership to develop enhanced processes and oversight.Perform reviews of Online Investing client Option and Margin applications for appropriate approvals and rejections.Review online trading activity to ensure compliance with trading rules and account requirements.Refine system logic used in conducting risk-based reviews.Draft or update desktop procedures and communicate changes effectively.Develop subject matter expertise in securities rules and regulations through research and training.Execute account and platform report reviews to monitor for potential loss or harmful activity.Implement data analysis for senior management across lines of business.Liaise with the Sales Practice Review team to escalate potential issues.

Required Qualifications, Capabilities, and Skills

At least 7 years of experience in the securities/investment industry.Strong knowledge of securities rules, regulations, guidelines, and industry practices.Experience supervising account approval, online trading, and related activities, combined with knowledge of FINRA, MSRB, and SEC rules and regulations.Knowledge of FINRA, MSRB, and SEC rules and regulations with Experience supervising account approval, online trading, and related activities..Proficient in using computer programs with office software applications and capable of providing clear, concise, and timely resolution to issues.Strong critical thinking, analytical research, written and verbal communication and quantitative skills.Strong organizational skills with exceptional attention to detail and excellent time management abilities.Proven judgment and problem-resolution skills, along with the ability to build relationships across business functions.Ability to understand new investment products and firm-wide policies.Active and valid FINRA Series 7 and one or more of the following licenses are required to be considered for the role: FINRA Series 66 (63,65), 9/10 (4,24,53) FINRA Series 7, 66 (63,65), 9/10 (4,24,53), all licenses are required to perform all job duties associated with the role. If any of the licenses not already held, they must be obtained within 120 days of starting in the role as a condition of employment.Bachelor’s Degree.

Preferred Qualifications, Capabilities, and Skills

Experience with data analytic tools including Excel and Alteryx.Ability to understand compensation practices and conduct reviews.Experience in building relationships to obtain necessary information for reviews.Familiarity with new investment products and firm-wide policies.Ability to lead and influence cross-functional stakeholders.