Client Maintenance roles are responsible for the operational support, governance, and remediation of new and existing client data, as well as for the processing, documentation, verification, and maintenance of client accounts. Serving the JPMA line of business, as well as Private Bank and CWM. Individuals in Account Maintenance roles provide subject matter expertise to the front office, client service, and other cross-functional partners.
Responsibilities
As a Client Account Analyst, responsibilities may include, but are not limited to:
Support full service wealth clients/advisors and self-directed client data and documentation for JPMS, CWM, and PB
Principal duties include reviewing and approving the brokerage account maintenance service requests in accordance with FINRA rules and industry regulations
Leverage risk management mind-set to review and validate client data and relevant legal and/or governing documentation
Support the digital brokerage services with straight through processing and accepting or rejecting client service requests
Ensure compliance with all department and regulatory (AML, SEC, DOL, FINRA, etc.) requirements
Foster a culture of continuous improvement; analyze processes and identify opportunities for automation and/or tactical solutions to solve for gaps to enhance end to end operating model
Ability to organize/manage multiple priorities and projects coupled with the flexibility to quickly adapt to ever changing business needs and requirements
Critical thinker, ability to exercise independent judgment in resolution of moderate to complex issues and escalate issues for resolution
Participate in internal research projects and special client assignments as the opportunities arise for licensed individuals
Qualifications
FINRA Series 7 and 24 licenses required within 120 days. SIE is strongly preferred for unlicensed candidates
3-5 years of experience in financial services, preferably in investment related roles, with a focus on customer service and support preferred
General knowledge of brokerage industry regulatory requirements
Exceptional customer service mentality
Ability to think creatively, transform ideas and recommend/implement process improvements
Exceptional communication skills and be able to collaborate effectively across all levels of the organization
Accuracy and high attention to detail, excellent follow-through
Proven interpersonal, team-oriented skills, results oriented team player
Analytical approach to problem solving
Strong sense of accountability and ownership to drive best practices around the quality, risk and controls process
Accelerated skills in Microsoft Office, particularly advanced Excel proficiency preferred
Strong knowledge of Data Analytic and Visualization tools, Signavio, Altreyx, Xceptor is a plus
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.
