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Software engineer
- Location
- San Francisco
- Type
- Full time
- Compensation
- $150k-$200k
- Posted
- 2 days ago
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J.P. Morgan Wealth Management - Central Supervisory Sales Practice Director - Columbus, OH and/or Chicago, IL
- Location
- Columbus
- Type
- Full time
- Posted
- 2D AGO
About the role
Trust is the foundation of every relationship we build with our clients, and it takes sharp, principled leadership to protect it. J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions with client assets of $4 trillion. As an Executive Director in our Sales Practice Review function, you'll shape how we proactively identify risks, uphold the highest standards of client care, and safeguard the Firm's reputation. This is a rare opportunity to lead leaders guiding Vice President level Managers and the teams beneath them while setting enterprise strategy and influencing senior stakeholders across Compliance, Risk, Controls, Operations, and Technology. If you thrive on complexity, ambiguity, and high-stakes decision-making, this role puts you at the center of it.
As an Executive Director, Sales Practice Reviews in our Central Supervision organization, you provide enterprise-level leadership over the Sales Practice Review function, overseeing Vice President level Sales Practice Managers who each lead their own teams. You'll set strategy, drive large-scale and complex initiatives, and exercise sound judgment under ambiguity in a fast-paced, cross-functional environment. You'll serve as the top point of escalation for the review team, Vice President Managers, and other stakeholders, reporting directly to the Head of Central Supervision. This is your opportunity to lead leaders, influence enterprise-wide process improvements, and protect the Firm and its clients from financial, regulatory, and reputational risk.
Job Responsibilities
- Lead and direct Vice President level Sales Practice Managers and, through them, a broader team of individual contributors
- Set strategic direction and priorities for the sales practice review function, aligned with Central Supervision goals
- Oversee intake, assessment, and assignment of items received for investigation across the team
- Supervise and support Vice President Managers in the scope, planning, execution, and completion of complex reviews
- Manage multiple, complex reviews occurring concurrently across the organization
- Monitor progress of reviews and overall team productivity to ensure timely completion
- Guide Vice President Managers in identifying patterns and trends with broader customers, advisors, regional, or national impact
- Review final reports for completeness, accuracy, thoroughness, and appropriate conclusions
- Present review findings orally and in writing to senior management and other stakeholders
- Oversee resource planning, recruiting, hiring, developing, and coaching of VP Managers and their teams
- Lead special projects assigned by the Head of Central Supervision
Required Qualifications, Capabilities, and Skills
- 10 years of experience in the securities/investment industry with a minimum of 5 years of direct management and leadership experience.
- Active FINRA Series 7, 66 (63/65), 9/10 (4,24,53)
- Experience conducting broker/dealer sales practice reviews
- Elevated knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices
- Demonstrated experience in resource planning, recruiting, hiring, coaching, and developing employees and people managers
- Elevated critical thinking, analytical research, and quantitative skills
- Excellent written and verbal communication skills, including gathering evidence via telephone and in-person interviews
- Deep understanding and experience with advisory services and complex client accounts
- Proven ability to lead and develop people managers and multi-layered teams, not just individual contributors
- Strong organizational skills with exceptional diligence
Preferred Qualifications, Capabilities, and Skills
- Experience managing people managers, not just individual contributors
- Bachelor's Degree, or equivalent securities industry experience in lieu of a degree
- Knowledge of FINRA, MSRB, and SEC rules and regulations
- Strong executive presence and ability to represent the function to senior stakeholders
Thought leadership and enterprise-level process improvement experience
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