J.P. Morgan Wealth Management - Vice President Supervisory Team Manager - Tempe, AZ/Plano, TX
Listed on 2026-02-24
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Management
Risk Manager/Analyst, Financial Manager
Job Description
Are you ready to make an impact in the world of brokerage supervision? Join us as a Supervisory Team Manager and help drive operational excellence, risk management, and process improvement. You’ll lead a talented team, resolve high‑risk escalations, and collaborate with field and executive stakeholders. This is your opportunity to shape supervisory practices, develop employees, and influence business outcomes. Be part of a team where your leadership and expertise are valued.
As a Brokerage Supervisory Team Manager in Central Supervision, you will manage a team of Registered Principals responsible for reviewing and determining suitability for a variety of brokerage and managed account transactions. You will lead us in handling complex escalations, partnering with field personnel, and driving process improvements. Together, we will foster a collaborative, high‑performing team environment and deliver exceptional supervisory oversight.
Job Responsibilities- Manage a team of Registered Principals reviewing suitability for brokerage and managed account transactions
- Lead workflow and volumes with urgency and efficiency
- Escalate supervisory issues and provide actionable recommendations
- Strategically partner with field Supervisory Managers to resolve exceptions
- Execute project work and additional tasks as assigned
- Conduct training for newly hired team members
- Identify and drive process improvements
- Influence and align stakeholders to final resolutions
- Recruit, hire, develop, and coach employees
- Articulate supervisory findings and align stakeholders
- Manage complex, high‑risk escalations from end‑to‑end
- Minimum 7 years of experience in the securities and investment industry
- Ability to work independently and make sound, risk‑based decisions
- Strong research, analytical, and problem‑solving skills
- Ability to analyze trends and implement improvements
- Effective collaboration across multiple levels of supervision
- Excellent interpersonal, verbal, and written communication skills
- Strong organizational skills and attention to detail
- Proficiency in Microsoft Office and strong computer skills
- Proven ability to thrive in a dynamic, evolving team environment
- Strong time management and ability to meet deadlines
- Active and valid FINRA Series 7 and one or more of the following:
Series 66 (63,65), 9/10 (4,24,53), State Life & Health Insurance license (must obtain within 120 days if not already held)
- Management experience
- Advanced knowledge of securities industry rules, regulations, and guidelines
- Significant and equivalent experience in a directly related securities industry position (may substitute for bachelor’s degree)
Chase is a leading financial services firm, helping nearly half of America’s households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission‑based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility.
These benefits include comprehensive health care coverage, on‑site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do…
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