JPMorgan Chase
J.P. Morgan Wealth Management - Vice President - Supervisory Manager - Houston, TX
Houston, TX · Director · Full-time · Posted Oct 12, 2026
- Experience
- Minimum 5 years in a principal capacity and 2 years in retail investment industry supervision, compliance, or risk.
- Education
- Bachelor’s Degree preferred.
About the job
Oversee a territory of Financial Advisors by conducting risk-based account and book reviews, resolving escalations, and supervising and developing staff.
What you'll do
- Monitor account and book reviews, staff productivity, and risks; escalate issues and engage senior leadership as needed.
- Conduct suitability and Advisor book reviews, refine review rules, and maintain procedures in response to findings and regulatory changes.
- Supervise, mentor, evaluate, and participate in recruiting and retention of staff.
What they ask for
- At least 5 years of experience in a principal capacity and 2 years in retail investment industry supervision, compliance, or risk.
- Hold FINRA Series 7 and at least one 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.
- Knowledge of regulations, BI requirements, fiduciary oversight, financial planning strategies, and relevant securities rules and products.
- Ability to travel 50% of the time.
Nice to have
- Bachelor’s Degree.
- Experience as a Supervisory or Compliance professional; working alongside Advisors; or advanced knowledge of FINRA, MSRB, and SEC rules and regulations.
Model-written summary · the original posting is authoritative