JPMorgan Chase
J.P. Morgan Wealth Management - Vice President - Supervisory Manager - Ft Worth, TX
Fort Worth, TX · Director · Full-time · Posted Sep 28, 2026
- Experience
- Minimum of 5 years in a principal capacity and 2 years in retail investments securities supervision, compliance, or risk.
- Education
- Bachelor’s Degree preferred.
About the job
Oversees a territory of Financial Advisors by conducting account and book reviews, managing escalations and risks, and supervising and developing staff.
What you'll do
- Monitor account and book reviews, staff productivity, and investment suitability; identify and escalate risks and issues.
- Refine risk-based review rules, update procedures, and help the team meet regulatory expectations.
- Mentor and assess staff, deliver performance evaluations, and participate in recruiting and retention.
What they ask for
- At least 5 years of experience in a principal capacity and 2 years in retail investments securities supervision, compliance, or risk.
- Knowledge of regulations, Regulation BI requirements, fiduciary oversight, financial planning strategies, and securities products and practices.
- FINRA Series 7 and one or more of FINRA Series 66 (63/65), 9/10 (4,24,53); appropriate State Life & Health Insurance license. Additional licensing requirements must be met within 120 days of hire.
- Ability to travel 50% of the time.
Nice to have
- Bachelor’s Degree.
- Supervisory or Compliance experience; experience working alongside Advisors; advanced knowledge of FINRA, MSRB, and SEC rules and regulations.
Model-written summary · the original posting is authoritative