J.P. Morgan Wealth Management - Executive Director Supervisory Director - New York, NY

Location: New York, NY, United States

Job Family: Central & Field Suprvsry Teams

About the Role

At J.P. Morgan Wealth Management, we are seeking a seasoned Executive Director Supervisory Director to lead our Central & Field Supervisory Teams in New York, NY. This pivotal role involves directing the firm's efforts in managing regulatory obligations, operational risks, and supervisory requirements across our wealth management operations. Reporting to senior leadership, you will ensure that our advisors and teams deliver exceptional client experiences while upholding the highest standards of compliance and integrity. As a key player in one of the world's leading financial institutions, you will contribute to safeguarding our clients' assets and maintaining J.P. Morgan's reputation for excellence in a highly regulated industry. In this position, you will oversee a dynamic team responsible for monitoring advisor activities, conducting risk assessments, and implementing controls to mitigate potential exposures. Your leadership will be crucial in navigating complex regulatory landscapes, including SEC examinations and FINRA reporting, while fostering a proactive approach to emerging risks such as cybersecurity threats and market volatility. You will collaborate closely with business leaders, legal teams, and technology partners to integrate supervisory best practices into daily operations, driving efficiency and innovation in how we serve high-net-worth individuals and institutions. The ideal candidate thrives in a fast-paced environment, combining deep regulatory knowledge with strong leadership skills to inspire teams and influence firm-wide strategies. At J.P. Morgan Chase, we value diverse perspectives and offer unparalleled opportunities for professional growth, backed by robust resources and a commitment to work-life balance. Join us to shape the future of wealth management supervision and make a lasting impact on our global clientele.

Key Responsibilities

• Lead the supervisory team in overseeing J.P. Morgan Wealth Management's compliance with federal and state regulatory requirements, including SEC and FINRA rules
• Develop and implement operational risk management frameworks to identify, assess, and mitigate risks in client advisory and investment services
• Conduct regular supervisory reviews and audits of branch operations, advisor activities, and product offerings to ensure adherence to firm policies
• Collaborate with senior leadership to align supervisory strategies with J.P. Morgan's broader risk appetite and business objectives
• Monitor emerging regulatory changes and advise on their impact to wealth management practices, ensuring timely updates to internal controls
• Mentor and develop a team of compliance professionals, fostering a culture of regulatory excellence and accountability
• Oversee the resolution of regulatory inquiries, examinations, and enforcement actions, coordinating responses with legal and risk teams
• Drive initiatives to enhance supervisory controls, leveraging technology for efficient monitoring of client interactions and transactions
• Report on key risk indicators and supervisory metrics to executive management and regulatory bodies
• Ensure integration of ethical standards and firm values in all supervisory activities, promoting client-centric risk management

Required Qualifications

• Bachelor's degree in Finance, Business Administration, Law, or a related field; advanced degree (MBA, JD) strongly preferred
• Minimum of 10+ years of experience in regulatory compliance, risk management, or supervisory roles within the financial services industry
• Proven track record in leading teams to manage regulatory obligations and operational risks in a wealth management context
• In-depth knowledge of U.S. regulatory frameworks including SEC, FINRA, and OCC requirements applicable to wealth management
• Experience in conducting supervisory reviews, audits, and ensuring adherence to anti-money laundering (AML) and know-your-customer (KYC) protocols
• Demonstrated ability to navigate complex regulatory environments and implement risk mitigation strategies
• Active securities licenses such as Series 7, 63, and 24 (or equivalent) required

Preferred Qualifications

• Prior experience at a major financial institution like J.P. Morgan Chase in wealth management supervision
• Certification as a Certified Regulatory and Compliance Professional (CRCP) or similar
• Experience with international regulatory compliance for cross-border wealth management activities
• Background in leading digital transformation initiatives for compliance and risk systems
• MBA from a top-tier institution with a focus on finance or risk management

Required Skills

• Regulatory compliance expertise
• Risk assessment and management
• Leadership and team development
• Strategic planning and execution
• Analytical thinking and problem-solving
• Communication and stakeholder engagement
• Knowledge of financial regulations (SEC, FINRA)
• Audit and supervisory review processes
• Project management in compliance initiatives
• Ethical decision-making
• Proficiency in risk management software (e.g., Archer or similar)
• Data analysis and reporting
• Change management in regulatory environments
• Client-focused advisory oversight
• Cross-functional collaboration

Benefits

• Competitive base salary and performance-based annual bonus
• Comprehensive health, dental, and vision insurance plans
• 401(k) retirement savings plan with generous company match
• Paid time off including vacation, sick days, and parental leave
• Professional development opportunities through J.P. Morgan's internal training programs and tuition reimbursement
• Employee stock purchase plan and access to firm-wide wellness programs
• Relocation assistance for eligible roles and flexible work arrangements
• Exclusive perks such as J.P. Morgan private banking services and cultural event access

JP Morgan Chase is an equal opportunity employer.