JPMorgan Chase
J.P. Morgan Wealth Management - Vice President - Supervisory Manager - San Francisco, CA
$125K–$200K
San Francisco, CA · Director · Full-time · Posted Oct 15, 2026
- Experience
- Minimum 5 years in a principal capacity and 2 years in retail investment industry supervision, compliance, or risk.
About the job
Oversees financial advisor supervision for a territory, conducting risk-based account and book reviews, managing escalations, and developing staff.
What you'll do
- Monitor account and book reviews, staff productivity, and potential risks; escalate issues and engage senior leaders.
- Review account suitability and advisor books, refine risk-based review rules, and maintain desktop procedures.
- 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 investment industry supervision, compliance, or risk.
- FINRA Series 7 and one or more specified licenses (Series 66 or 63/65; 9/10 or 4/24/53); additional licensing requirements must be met within 120 days of hire.
- Knowledge of regulations, Regulation 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; experience working alongside Advisors; advanced knowledge of FINRA, MSRB, and SEC rules and regulations.
Pay
$125,000.00-$200,000.00 USD base salary
Tools
FINRA Series 7, FINRA Series 66, FINRA Series 63/65, FINRA Series 9/10, FINRA Series 4, FINRA Series 24, FINRA Series 53
Model-written summary · the original posting is authoritative