JPMorgan Chase Wealth Management, JPMorgan Securities, Product & Investment Control, Associate in Brooklyn, New York
JPMorgan Securities - Product & investment Control (P&IC), A ssociate
The Product & Investment Controls Supervisory Mangers (P&IC SM) support JPMorgan Securities (JPMS) ensuring a consistent approach to interpreting rules, regulations, policies and procedures within a control environment.
The successful candidate has the ability to implement best practices and track accountability and will effectively present data and analysis. This candidate is able to work in a fast-paced environment meeting daily deliverables, work independently, take initiative and think strategically to solve problems.
The P&IC SM will work closely with Branch SM’s and Financial Advisor’s to collaborate on various controls related topics
Analyze and review brokerage and advisory trade exceptions with applicable policies and procedures to identify potential issues relating to various products.
Identify, track and escalate issues and follow through to resolution
Create procedures, presentations, and status updates as needed
Develop strong relationships with peers and colleagues
Wealth Management experience as a supervisory manager/branch manager or similar capacity and an understanding of wealth management products and services
Minimum of 3 to 6 years of financial services industry experience
Team player, organizational and multitasking skills, commitment to quality
Ability to think creatively and recommend/implement process improvements
Proficient PC skills
B.A. / B.S. Degree is required
Required: Series 7, 66 and either the 9/10 and/or 24, 4
JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.