Description

Make a meaningful impact in a highly trusted part of the Private Bank. Join a team that safeguards clients and advisors by strengthening supervisory oversight and operational excellence. You'll partner across Client Service, Operations, Compliance, and Legal to resolve issues, improve processes, and prepare branches for exams. Your expertise will keep our brokerage activities compliant, and our clients protected. Grow your career while helping us raise the bar on supervision.

As a Private Bank Supervisory Manager, you oversee brokerage-related supervision for U.S. Client Service locations and serve as a central escalation point. You partner with us to resolve trade errors, guide registration matters, prepare branch exams, and drive process improvements. Together, we ensure adherence to regulatory requirements and internal standards while supporting employees and clients with timely, risk-based decisions.

Job responsibilities

• Oversee brokerage supervision for Client Service locations and act as the primary contact for supervisory inquiries
• Partner with Market Supervisory Managers and Operations to resolve trade errors and close error claims
• Process cancel/corrects, assign error responsibility, and complete error reporting
• Guide Client Service Management on employee registration matters; produce and review registration and location reports
• Prepare Monthly Supervision Reviews and lead monthly meetings with Client Service Branch Office Managers
• Support Compliance Annual Branch Exams and coordinate documentation and readiness across eight branches
• Prepare for internal audits, Compliance Testing, and external regulatory exams; demonstrate adherence to policy
• Serve as the escalation point for situations involving Senior Clients or vulnerable clients
• Review and approve gifts to employees; monitor E-Comm violations, LinkedIn changes via Hearsay, and outside interests
• Analyze outlier trade and PAD violation reports; identify trends and recommend corrective actions
• Assist with surveillance inquiries, brokerage complaints, and cross-functional requests from Control and Operations

Required qualifications, capabilities, and skills

• Minimum 2 years of experience in supervisory management, client service, controls, or compliance within a brokerage or wealth management firm
• Demonstrated risk-based decision-making with a strong sense of urgency
• Excellent communication, listening, and stakeholder management skills across all levels
• Proven ability to assess complex issues and drive timely, durable solutions
• In-depth knowledge of brokerage regulatory requirements and best practices
• Strong organization, follow-up, and time management skills in a dynamic environment
• Ability to analyze trends, identify gaps, and implement process improvements
• Proficiency with Microsoft Office (Excel, Word, PowerPoint); strong systems navigation
• Effective collaboration across Client Service, Operations, Compliance, Legal, and other partners
• Active FINRA Series 7 and 66 (or 63 and 65)
• Active FINRA Series 9 and 10 and Series 4 (required to perform full job duties; must be obtained within 120 days if not already held)

Preferred qualifications, capabilities, and skills

• Bachelor's degree
• Experience preparing for internal audits, compliance testing, or regulatory exams
• Hands-on experience with trade error resolution, cancel/correct processing, and error reporting
• Familiarity with registration reporting and CRD-related processes
• Experience handling escalations involving senior clients or older vulnerable clients
• Exposure to Hearsay monitoring, E-Comm reviews, and outside interest oversight
• Track record of leading process improvements in supervisory or client service functions

About Us

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 asset management.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans

About the Team

J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset 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. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.