Supervisory Manager, Private Bank, Washington D.C.

JPMorgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth individuals and families in 36 countries around the world. We deliver highly customized and tailored solutions to help clients with the many complexities they face by leveraging all of the commercial and investment banking capabilities of the firm.



We are currently seeking a Supervisory Manager for our Washington D.C. office. The Supervisory Manager is responsible for all aspects of sales supervision and risk review for their regional team. The Supervisory Manager coordinates and works closely with Private Banking Risk,Control, Compliance and Legal on issues that arise in the regional teams. Supervisory responsibilities will include (but are not limited to):

Review of correspondence (including marketing materials - review of incoming and outgoing correspondence (print, fax, e-mail). Approval of all new accounts and account updates Review and approval of daily trade activity blotter Quarterly review of Alternative Investments concentration reports Suitability pre-review of transactions - Approve new accounts and provide guidance on OTC derivative transactions. Pre-trade product review, including document and authorities review for hedge funds, private investments, structured products, certain Foreign and local securities, New Issue and secondary issuance of equities, and Rule 144. Errors- responsible for review and resolution of order errors. This includes identifying circumstances, taking market action when necessary to resolve the error and completing the error reporting. The Supervisory Manager will assign responsibility for errors as necessary. Account reviews - The Supervisory Manager will complete client reviews as outlined by Compliance procedures,follow up on issues or make client contact as appropriate and maintain records of the review process Personal Trading and outside business activities - Coordinate that written consent of the Office of the Secretary is obtained before employees engage in outside Speaking activities: approve lectures or interviews prior to activity and maintain a log of the activity. Approve personal securities transactions for regional employees as required by firm policy. Review and resolve personal trading policy violations with Compliance and Regional Manager as required. Client issues -Review and resolve client inquiries, issues and complaints. Complete a thorough investigation and provide resolution and reporting. The Supervisory Manager involves Compliance, Legal, IM Risk Management & Control along with Regional Management in the process of reaching an appropriate resolution. Education and training - Responsible for providing policy and procedural training to new employees, assist with continuing education requirements and provide special training as warranted on specific topics. Disseminate information relating to changes in policy and regulatory rules. Audits -The Supervisory Manager is the point contact for internal examinations conducted by Compliance and Internal Audit. Responsibilities include representing management in demonstrating adherence to internal policies and procedures, as well as providing all necessary documentation in accordance with internal examiners' requests. Will also work with Compliance on routine examinations by outside regulators








REQUIREMENTS
S7,S9/10(or S8), S24 (or S23) and S63 required. S4 will need to be completed with in 120 days of start date BA/BS required Strong knowledge of the regulatory requirements and best practices for Private Bank brokerage and banking Strong organization and follow up skills. Ability to work well on an integrated team Comfortable making decisions independently and dealing with conflict Strong communication skills Ability to interact with all levels of the Private Bank and other areas of the Company Comfortable working with a team of Supervisoyr Managers and providng back up coverage as needed



JPMorgan Chase offers an exceptional benefits program and a highly competitive compensation package.

JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V.