Supervision Officer - Chase Wealth Management Central Supervision - JPMorgan Chase - Columbus, OH

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Supervision Officer - Chase Wealth Management Central Supervision - JPMorgan Chase - Columbus, OH -
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160024833


Job Description


Chase is the U.S. shopper and business banking enterprise of JPMorgan Chase & Co. (NYSE: JPM), a number one international monetary providers agency with belongings of $2.6 trillion and operations in additional than 60 nations We serve greater than 50 million shoppers and small companies by means of greater than 5,600 bank branches, 18,700 ATMs, bank cards, mortgage workplaces and on-line and cellular banking in addition to by way of relationships with auto dealerships.


Inside Chase, Chase Wealth Management encompasses our Chase Personal Shopper (CPC) and Chase Funding Providers companies. By way of a devoted staff of a banker and J.P. Morgan Advisor, Chase Personal Shopper brings our prosperous shoppers concierge banking from Chase and entry to the funding experience from J.P. Morgan. Chase Funding Providers offers funding options to a broad vary of Chase clients via Chase Funding Advisors.


As a Chase worker, you may be a part of an organization that makes an actual distinction day by day for our clients, our communities and ourselves. With a give attention to customer support, you’ll put others first, do what is true and create options that make lives higher. We invite you to construct your profession on our robust basis and assist form what’s subsequent for you and for us.


The Supervision Officer helps Supervisory Managers within the area by executing designated supervisory duties, thereby facilitating standardized oversight and enhanced concentrate on the funding sales course of, whereas assuring compliance with securities business laws and agency insurance policies


Main obligations embrace:


  • Determine, consider and doc trades flagged as exceptions for suitability in accordance with FINRA guidelines and business laws

  • Assessment and assess suitability related to choose new accounts and/or merchandise

  • Escalate supervisory points as essential to Supervisory Managers within the subject, offering related suggestions as to applicable actions to be taken

  • Associate with Supervisory Managers within the subject to assist them resolve exceptions in a well timed method

  • Evaluate inbound & outbound flagged and/or unflagged e-mails to make sure the content material of digital communications are applicable and meet regulatory requirements

  • Conduct outbound High quality Assurance calls to shoppers to confirm understanding of the dangers and costs related to sure varieties of securities transactions

  • Venture work and extra duties as assigned by Central Supervision Management

Qualifications


Expertise wanted


  • Robust interpersonal, verbal, & written communication expertise

  • Good group expertise & consideration to element

  • Good analysis, analytical and drawback fixing expertise

  • Pc/navigational expertise (Microsoft Workplace)

  • Efficient time management expertise so as to meet service degree agreements and/or undertaking deadlines

Qualifications


At the least one to 3 years of expertise within the securities/funding business required


Retail brokerage and/or annuity expertise strongly most popular


Confirmed capability to work in a dynamic staff surroundings


FINRA Collection 7 minimal licensing requirement in an effort to be thought-about


FINRA Collection 9, 10, 66 (or 63 and 65), and Ohio Life Insurance coverage license required inside 90 days


FINRA Collection 24, 53 and four might exchange the necessities for Collection 9 and 10


JPMorgan Chase is an equal alternative and affirmative motion employer Incapacity/Veteran.


Job


Danger


Main Location


US-OH-Columbus-Polaris McCoy Middle / 54101


Group


CONSUMER & COMMUNITY BANKING


Schedule


Full-time


Job Sort


Normal


Shift


Day Job


Company Model


Chase




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