J.P. Morgan Wealth Management - Vice President Sales Practice Manager - Chicago, IL OR Columbus, OH

At Morgan Chase, we have and enthusiasm for helping our clients, taking care of our employees, building relationships, and delivering extraordinary customer service while maintaining a strong commitment to diversity and inclusion.

As a Vice President Sales Practice Manager within . Morgan Wealth Management, you will have the opportunity to identify and review potential sales practice issues.

You will manage complex, high-risk escalations and communicate with senior level stakeholders. This role provides a unique opportunity to contribute to our team's success while developing your skills in sales practice management.

Job Responsibilities

• Plan and participate on complex reviews with limited supervision and guidance, including a determination of the books, records and documents requiring examination.
• Demonstrates ability to initiate and complete high quality reviews, including ability to work quickly on multiple time-sensitive matters.
• Organize and prepare the monthly proactive reporting for the sales practice review team.
• Collect, organize, and analyze information from a variety of sources to be used in the development of reviews of potential sales practice issues, including broker-dealer documents, trading, and financial information.
• Present findings (orally and / or in writing) to management and other potential constituents in an organized, concise, and timely fashion.
• Proactively identify patterns and trends in reviews that may have impact to more than one customer, more than one advisor, a region and / or national impact.
• Overall work is subject to review and correction by the Supervisory Sales Practice Review Team Manager, Director and / or the Head of Sales Practices.

Preferred Qualifications, Capabilities, and Skills

• Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
• Demonstrates a high level of critical thinking, analytical research, and quantitative skills.
• Strong written and verbal communications skills, including an ability to gather evidence through the use of telephone and in-person interviews.
• Strong organizational and time-management skills with exceptional attention to detail.
• Strong oral and written communication skills.
• Possess strong computer skills (., Access, Excel, Word, and PowerPoint).
• Deep understanding and experience of advisory services and a multitude of products and complex client accounts.

Required Qualifications, Capabilities, and Skills

• 7+ years in the securities and investment industry
• Active and valid FINRA Series 7 required to be considered for the role.
• FINRA Series 66 (63,65), 9 / 10 (4,24,53) 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
• Bachelor’s Degree : however, advanced knowledge of securities industry rules, regulations and guidelines and significant and equivalent experience in a directly related securities industry position may substitute for bachelor’s degree.
21 days ago