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Chase · 11 hours ago

J.P. Morgan Wealth Management - Executive Director Supervisory Director - Plano, TX

8181 Communications Pkwy Bldg A, Plano, TX, 75024, US

Full-time

Onsite

Senior Level, Lead/Staff

10+ years exp

Chase is a leading financial services firm, helping nearly half of America’s households and small businesses achieve their financial goals. As a Supervisory Director at J.P. Morgan Chase, you will be responsible for developing, implementing and leading organizational strategies, while spearheading process changes and supporting project management efforts.

BankingFinancial Services

Responsibilities

Lead an organization of Registered Principals responsible for reviewing and determining suitability for a variety of products within a respective region

Partner with Regional Directors and our other Supervision teams to ensure business objectives are achieved

Ensure business and firm-wide initiatives are successfully driven by Supervisory Manager team (i.e., Document Integrity, FINRA changes, etc.)

Develop and motivate the team by providing a compelling vision of shared goals and objectives

Set high standards while empowering and holding the team accountable for meeting those standards

Seek out ways to leverage and apply innovative ideas to enhance business results

Ensure day-to-day supervisory aspects of the business are functioning

Ensure timely and effective responses to compliance, supervision and audit examinations on a priority basis

Provide approval when needed to resolve any escalated supervisory issues

Facilitate communication & training to ensure all employees have needed knowledge of supervisory topics to mitigate risk and enhance the client experience

Participate on various committees and projects which convene to collaborate on strategic initiatives

Qualification

FINRA Series 7FINRA Series 66LeadershipTeam ManagementUS Financial RegulationAdvisory ServicesChange ManagementCommunication SkillsPresentation Skills

Required

10+ years of experience in the securities / investment industry

5+ years of experience managing a team of people required

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 working knowledge of the US financial regulation framework including applicable FINRA rules

Excellent leadership, communication, and people management skills

Ability to work independently and make sound, risk-based and suitability decisions based on firm policy

Ability to collaborate across multiple levels of supervision and work in a dynamic team environment that is consistently evolving

Ability to manage a pipeline of work from assignment to completion as well as meet or exceed business goals and objectives, while fostering a team atmosphere

Possess a deep understanding and experience of advisory services and a multitude of products and complex client accounts

Ability to provide thought leadership and identifies opportunities for process improvement