Job Description:

The Supervision Officer supports Supervisory Managers in the field by executing designated supervisory duties, thereby facilitating standardized oversight and enhanced focus on the investment sales process, while assuring compliance with securities industry regulations and firm policies

Primary responsibilities include:

• Identify, evaluate, document, and decision trades flagged as exceptions for suitability in accordance with FINRA rules and industry regulations
• Review and assess suitability associated with select new accounts and/or products
• Escalate supervisory issues as necessary to Supervisory Managers in the field, providing relevant recommendations as to appropriate actions to be taken
• Partner with Supervisory Managers in the field to help them resolve exceptions in a timely manner
• Conduct outbound Quality Assurance calls to clients to verify understanding of the risks and fees associated with certain types of securities transactions
• Project work and additional tasks as assigned by Central Supervision Management

Skills Needed

• Strong interpersonal, verbal, & written communication skills
• Good organization skills & attention to detail
• Good research, analytical and problem solving skills
• Computer/navigational skills (Microsoft Office)
• Effective time management skills in order to meet service level agreements and/or project deadlines

Qualifications

• At least one to three years of experience in the securities/investment industry required
• Retail brokerage and/or annuity experience strongly preferred
• Proven ability to work in a dynamic team environment that is consistently evolving
• FINRA Series 7 minimum licensing requirement in order to be considered
• FINRA Series 9, 10, 66 (or 63 and 65), and Ohio Life Insurance license required within a specified time frame
• FINRA Series 24, 53 and 4 may replace the requirements for Series 9 and 10

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

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