Job Description

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

Chase is a leading financial services firm, helping nearly half of America’s households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

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. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

Equal Opportunity Employer/Disability/Veterans