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As the Supervisory Manager in the Brokerage team you will exhibit leadership and operational expertise when executing designated supervisory duties and is directly responsible for performing appropriate reviews on an exception basis of transactions placed in client accounts and/or annuity and life insurance applications submitted by Financial Advisors. Responsible for managing complex, high risk escalations from end-to-end and outreach to the field and executive level stakeholders.

Job Responsibilities

• Conduct suitability reviews associated with a variety of Brokerage (i.e., stocks, bonds, options, mutual funds, etc.) as well as Managed Account transactions

• Escalate supervisory issues as necessary, providing relevant recommendations as to appropriate actions to be taken

• Strategically partner with Supervisory Managers or registered personnel in the field to resolve exceptions

• Project work and additional tasks as assigned by Central Supervision Management

• Responsible for reviewing certain work items escalated internally by more Junior level employees

• Conduct training of newly hired team members

• Identify process improvements and help drive change

• Responsible for influencing, clearly articulating, and aligning stakeholders to final resolution

Required qualifications

• Has a deep understanding and experience of advisory services and a multitude of products and complex client accounts. Also possesses Working knowledge of the US financial regulation framework including applicable FINRA rules. Additionally, has a knowledge and understanding of risk management.

• Ability to work independently and make sound, risk-based decisions with independent suitability based on firm policy

• Demonstrates strong research, analytical and problem-solving skills that leads to the ability to analyze trends and patterns; identify and implements improvements or enhancements

• Ability to collaborate across multiple levels of supervision with strong interpersonal, verbal, & written communication skills while also possessing strong organization skills & attention to detail

• Proven ability to work in a dynamic team environment that is consistently evolving

• Strong time management skills to meet service level agreements and/or project deadlines

• Active and valid FINRA Series 7 and one or more of the following licenses are required to be considered for the role: FINRA Series 66 (63,65), 9/10 (4,24,53), appropriate State Life & Health Insurance license. FINRA Series 7, 66 (63,65), 9/10 (4,24,53), and appropriate State Life & Health Insurance license are required to perform all job duties associated with the role. If any of the licenses not already held, they must be obtained within 120 days of starting in the role as a condition of employment.

• 7+ years of experience in the securities and investment industry

Preferred qualifications

Bachelor's Degree preferred

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. For those in eligible roles, discretionary incentive compensation which may be 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 not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

Equal Opportunity Employer/Disability/Veterans