Wealth Management Client Account Maintenance, Vice President

Overview

As part of Wealth Management Client Operations, our mission in client and account maintenance is to deliver a first-class client experience by leveraging digital capabilities, intelligent automation, and scalable operating models built upon a controlled, value-added framework. Our team is responsible for maintaining and safeguarding the integrity of client data across Chase Wealth Management, J.P. Morgan Securities, and Private Bank for both new prospects and existing clients.

We also support the direct-to-client service base in Digital Wealth Management investment services, aiming to create a fully integrated digital experience for investment clients across the wealth continuum.

• Team Leadership & Development:
  • Manage, mentor, and upskill a team of Analysts/Associates, fostering a culture of continuous learning and professional growth through coaching, feedback, and development programs.
  • Serve as a role model and culture carrier, championing best practices and a collaborative, inclusive environment.
  • Supervise training and development, ensuring team members are equipped to meet evolving business needs.
• Operational Excellence:
  • Oversee client service delivery with a focus on consistency, quality, and compliance with firm policies and procedures.
  • Act as the primary escalation contact, resolving complex client requests and issues efficiently.
  • Own and enhance team processes, procedures, and functions, driving operational improvements and standardization.
• Intelligent Automation & Process Improvement:
  • Identify, recommend, and implement intelligent automation and tactical solutions to optimize workflows, close process gaps, and enhance the end-to-end operating model.
  • Lead strategic projects and pilot programs, partnering with stakeholders to deliver innovative solutions.
• Risk Management & Compliance:
  • Leverage a risk management mindset to review and validate client data and governing documentation.
  • Ensure compliance with all department and regulatory requirements (AML, SEC, DOL, FINRA, etc.).
  • Adapt to regulatory changes in the investment industry, supporting the maintenance of both retail and managed brokerage accounts.
• Stakeholder Engagement:
  • Facilitate effective communication within the team and across business partners.
  • Collaborate with key stakeholders to drive strategic initiatives and support remediation efforts as needed.

• FINRA Series 7 and 24 licenses required within 120 days; SIE required for unlicensed candidates.
• Demonstrated management experience, including coaching, developing, and upskilling employees.
• General knowledge of brokerage industry regulatory requirements.
• Proven ability to implement intelligent automation solutions and drive process improvements.
• Exceptional communication and interpersonal skills; able to collaborate effectively across all levels.
• High attention to detail, accuracy, and follow-through.
• Strong sense of accountability and ownership, with a commitment to quality, risk, and controls.

• Advanced proficiency in Microsoft Office, especially Excel.
• 5-8 years of experience in financial services, preferably in investment-related roles with a focus on customer service and support.
• Bachelor’s degree or equivalent in Business Administration, Finance, Economics, Accounting, or a related field.