JPMorgan Chase Wealth Management, JPMorgan Securities, Product & Investment Control, VP in Brooklyn, New York

JPMorgan Securities, Product & investment Control (P&IC), Vice President

The P&IC team supports JPMorgan Securities (JPMS) in ensuring a consistent approach to interpreting rules, regulations, policies and procedures within a control environment.

Evaluation Criteria:

The successful candidate will have a proven track record of driving change, and the ability to influence, implement best practices, set priorities, facilitate collaboration, and track accountability. The candidate will have expertise in the effective presentation of data and analysis results and the ability to proactively communicate status and updates through management updates and presentations. The expectation is that the candidate would operate in a complex, fast-paced environment and deliver results. The candidate should also be able to work independently, take initiative and think strategically to solve problems.


  • Enhance the advisory and controls environment focusing on wealth management supervision and controls

  • Understand and improve the controls in relation to wealth management equity and fixed income strategies, Rule 206(4)-7, 40 Act and the advisory platform which includes account opening and activity look back and guideline reviews.

  • Continually improve controls by working closely with partners and controls stakeholders

  • Ensure timely and concise communication and understand the various processes and procedures performed within JPMS

  • Coordinate and supervise ongoing oversight

  • Be a leader in unstructured situations and ensure an optimal experience

  • Provide solutions


  • Required: must have active series 7, 66, 9/10 or 24/4

  • Wealth management experience as a supervisory manager

  • A solid understanding of wealth management and the products and services offered is required

  • At least 6-10 years of experience in the financial services industry

  • Excellent written and verbal communication skills

  • Team player with excellent organizational, multitasking and prioritizing skills

  • Strong attention to detail and ability to work independently

  • Strong relationship building and partnership skills

  • Ability to think strategically and execute a plan

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.