Job Description:

Key responsibilities include the principal review of various marketing and other internal and external communications related to investment products such as mutual funds, fixed and variable annuities, managed accounts, fixed income, equities and alternative investments (e.g., hedge funds and private equity finds) as well as banking products. Considerations include maintaining applicable FINRA, OCC, SEC, state insurance department and banking advertising standards for communications with the public. Responsibilities also include utilizing an automated review system where comments are recorded and remaining current with the securities and banking regulatory guidance for the review and approval of communications with the public.

Primary Responsibilities

Responsibilities for the Wealth Management Marketing Supervision Officer include supporting the marketing review process.

• Analyze, monitor, review and disposition marketing and advertising materials, training materials, and communications related to wealth management. This includes: (1) assessing compliance with US regulations (FINRA, OCC & SEC), internal policy, and applicable guidance from management and regulators (2) engaging subject matter experts for assistance with reviews, as appropriate; (3) communicating and documenting guidance and decisions resulting from the review.
• Review internal use only materials that are broadly distributed within Wealth Management.
• Understand FINRA, OCC & SEC regulatory requirements that apply to communications with the public.
• Attending webcasts, client conference calls and other events as needed
• Creating metrics and other management reports, as needed
• Conducting training with marketing and other partners to convey the process and answer regulatory related questions concerning communications review.
• Other projects and responsibilities, as deemed required.

Qualifications

• Bachelor degree and at least 5 years of relevant industry experience or business experience.

• Demonstrated ability to develop practical, creative solutions that meet business needs while remaining compliant with applicable laws and regulations.
• Experience working on, or supporting, marketing or sales-related projects/strategies.
• Excellent oral and written communication skills.
• Detail oriented and highly organized ambitious professional
• Ability to operate effectively and independently in a fast-paced, changing environment.
• FINRA License Series 7 & 24 required
• Bilingual (Spanish and/or Portuguese) preferred

JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

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. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

Equal Opportunity Employer/Disability/Veterans

Apply Now