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.

Evaluation Criteria:

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.