Asset & Wealth Management - Supervisory Senior Associate - New York, NY

At JPMorgan Chase, we empower clients, support employees, and uphold diversity and inclusion.

We value innovation, collaboration, and professional growth while delivering exceptional customer service and cultivating strong relationships.

As a Supervisory Senior Associate in the Solutions Supervisory team, you will support our trading operations by ensuring compliance with industry regulations.

You will conduct deep dives into brokerage and registered investment advisor (RIA) activities, investigate root causes of triggered reviews, and attend platform meetings.

Together, we will uphold regulatory excellence and foster client trust, while you gain valuable experience and contribute to our dynamic team environment.

Job Responsibilities:


* Review next-day trades to ensure compliance with industry rules and regulations.


* Provide support for trade reviews concerning registration exemptions, permissible legal forms, and Blue Sky laws.


* Escalate supervisory issues with actionable recommendations for resolution.


* Conduct root cause analysis to support the Solutions Supervisory team.


* Collaborate with Field and Central Supervisory Managers to resolve exceptions promptly.


* Compile data and materials for various governance forums.


* Conduct training for newly hired Central Supervisory Associates.


* Identify process improvements and drive change initiatives.


* Participate in project work and additional tasks as assigned.

Required Qualifications, Capabilities, and Skills:


* Ability to work independently and make sound, risk-based decisions.


* Strong research, analytical, and problem-solving skills.


* Excellent interpersonal, verbal, and written communication skills.


* Strong organizational skills and attention to detail.


* Proven ability to work in a dynamic, evolving team environment.


* Effective time management skills to meet service level agreements and project deadlines.


* 4 years of relevant experience in the financial securities/investment industry.


* FINRA Series 7 and one or more of the following licenses: FINRA Series 66 (63/65).

Preferred Qualifications, Capabilities, and Skills:


* Bachelor's Degree preferred.


* Advanced knowledge of securities industry rules, regulations, and guidelines.


* Experience with Python, Alteryx, Tableau, and/or AI.


* Opportunity to obtain additional licenses for future advancement, including FINRA Series 9/10 (4,24,53) and appropriate State Life & Health Insurance license.

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P.

Morgan and Chase brands.

Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and ...