JPMorganChase Wealth Management — Vice President, Client Safeguarding Team Leader

JPMorgan

Chase Wealth Management is dedicated to helping investors achieve long-term financial goals through the Chase Wealth Management business, J.P. Morgan Advisors, and the Self-Directed online investing platform. The combined business manages approximately $650B in assets and includes 4,500 advisors across nearly 5,000 locations.

As a Vice President, Client Safeguarding Team Lead, you will lead a specialized front-line escalation team within the Wealth Management service organization responsible for fraud/scam, AML-related concerns, and Elder/Vulnerable Person (EVP) escalations routed through service channels. This is not a generalist service role—it requires strong investigative judgment, regulatory awareness, and the ability to ensure complex cases are owned end-to-end while balancing client protection, policy adherence, and a high-quality client experience.

You will be accountable for building a high-performance culture centered on client obsession, hospitality, and safeguarding, while ensuring a strong risk and control environment. You will partner closely with client-facing teams, operations, risk/control partners, and other stakeholders to drive consistent, timely outcomes and to identify trends that strengthen controls and reduce repeat issues.

Target operating hours:
Monday–Friday 7 a.m.–8 p.m. CST (8 a.m.–9 p.m. EST) and Saturday 8 a.m.–4 p.m. CST (9 a.m.–5 p.m. EST).

• Lead and develop a team of licensed safeguarding/escalations professionals; set clear expectations, coach for performance, and create a culture of excellence, client obsession, and high performance.
• Champion a Client First culture by delivering a best-in-class experience in high-stakes interactions, ensuring professionalism, empathy, and clarity while executing safeguarding actions aligned to policy and controls.
• Drive talent and performance strategies, including coaching, development, promotion planning, and structured call monitoring/quality reviews to ensure consistent client interactions and case outcomes.
• Foster and enforce a culture of risk and control
  , acting with appropriate urgency and responsibility to safeguard customers and the business.
• Partner closely across the firm (e.g., Wealth Management Client Operations, advisors, servicing teams, risk/control partners, and Global Securities & Investigations "GSI") to drive timely, consistent resolution and escalation governance.
• Review and validate outcomes for repeat-caller and high-risk accounts; correct gaps in rationale, documentation, or controls execution; and ensure audit-ready case records.
• Evaluate and govern exceptions to standard procedures, determining appropriateness and coordinating approvals and documentation.
• Identify trends and recurring drivers of escalations to inform process improvements, controls enhancements, training needs, and client experience improvements; participate in working groups, pilots, and projects supporting the safeguarding operating model.
• Promote diversity and inclusion
  , setting the tone and proactively implementing solutions that strengthen team culture and effectiveness.
• Maintain readiness through ongoing learning of evolving fraud typologies, policy updates, and relevant regulatory guidance (e.g., FINRA 2165 and applicable state laws).

• Active FINRA Series 7 and Series 63 (or equivalent) required, including meeting continuing education requirements; ability to maintain registration in all 50 states/territories, as applicable.
• FINRA Series 9/10 (or equivalent) required or ability to obtain within a defined onboarding period as a condition of employment.
• Demonstrated ability to make high-impact fraud/EVP escalation decisions under pressure while adhering to policy, controls, and regulatory requirements.
• Strong risk, compliance, and control mindset with consistent execution and sound judgment to safeguard customers and the business.
• Proven leadership and people development experience with a track record of developing and coaching high-performing teams.
• Outstanding client communication skills (phone and written), including de-escalation, empathy, and confidence in…