J.P. Morgan Wealth Management - Investment Servicing Senior Specialist - Licensed

Location: Tempe, AZ, United States

Job Family: Client Operations

About the Role

At J.P. Morgan Wealth Management, we are dedicated to empowering clients to achieve their financial aspirations through innovative investment solutions and exceptional service. As a Licensed Investment Servicing Senior Specialist in our Tempe, AZ location, you will play a pivotal role in the Client Operations team, supporting brokerage accounts for a diverse clientele. This position requires an active Series 7 and Series 63 (or 66) license, enabling you to provide informed guidance on investment products while ensuring all interactions adhere to strict regulatory standards set by FINRA and the SEC. Your expertise will help clients navigate their portfolios, from routine inquiries to complex transactions, fostering long-term trust and loyalty in the competitive financial services landscape. In this senior specialist role, you will handle a high volume of client interactions, processing trades, account updates, and personalized recommendations using J.P. Morgan's state-of-the-art platforms. You will collaborate closely with wealth advisors and operations teams to resolve issues efficiently, always prioritizing client satisfaction and compliance. Staying abreast of market dynamics and J.P. Morgan's proprietary investment offerings will be essential, as you identify opportunities to enhance clients' financial strategies. This position demands a blend of technical proficiency and interpersonal skills, making it ideal for professionals passionate about driving client success in wealth management. Joining J.P. Morgan Chase means becoming part of a global leader in financial services, with access to cutting-edge resources and career growth opportunities. In Tempe, AZ, you will contribute to a vibrant team environment that values innovation and integrity. We offer competitive compensation, comprehensive benefits, and a commitment to work-life balance, ensuring you can thrive both professionally and personally. If you are a licensed professional eager to make a meaningful impact, apply today to help shape the future of wealth management at J.P. Morgan.

Key Responsibilities

• Assist clients with brokerage account management, including opening, funding, and maintenance of accounts to support their financial objectives
• Provide licensed investment guidance on products such as mutual funds, ETFs, stocks, and bonds, ensuring compliance with SEC and FINRA regulations
• Respond to client inquiries via phone, email, and chat, delivering personalized service to enhance client satisfaction and retention
• Process trade orders, account transfers, and other transactional requests accurately and efficiently within JPMorgan Chase's secure platforms
• Conduct periodic account reviews and recommend suitable investment strategies aligned with clients' risk tolerance and goals
• Collaborate with internal teams, including advisors and compliance officers, to resolve complex issues and ensure seamless operations
• Maintain up-to-date knowledge of market trends, JPMorgan Chase investment offerings, and regulatory changes
• Document all client interactions and transactions in compliance with firm policies and record-keeping standards
• Support wealth management initiatives by identifying opportunities for clients to engage with additional JPMorgan services
• Monitor and report on account performance, alerting clients to key events or opportunities

Required Qualifications

• Active Series 7 and Series 63 (or 66) securities licenses required
• Minimum of 2 years of experience in investment servicing, brokerage operations, or client-facing financial services roles
• Strong understanding of brokerage accounts, investment products, and regulatory compliance in the financial services industry
• Bachelor's degree in Finance, Business Administration, or a related field
• Proven ability to handle client inquiries and resolve issues in a fast-paced environment
• Knowledge of JPMorgan Chase systems and processes preferred, with ability to adapt quickly
• Excellent communication skills, both verbal and written, for interacting with high-net-worth clients

Preferred Qualifications

• Series 65 or CFP certification
• Experience with wealth management platforms such as those used at JPMorgan Chase
• Prior work in a licensed investment advisory or brokerage firm
• Familiarity with anti-money laundering (AML) and know-your-customer (KYC) regulations
• Bilingual proficiency in English and Spanish to serve diverse client bases

Required Skills

• Proficiency in financial software and brokerage platforms like JPMorgan's internal systems
• Strong analytical skills for reviewing investment portfolios and market data
• Excellent customer service and relationship-building abilities
• Knowledge of investment products and securities regulations
• Attention to detail for accurate transaction processing
• Effective problem-solving in high-pressure situations
• Communication skills for clear client interactions
• Time management to handle multiple client requests
• Compliance awareness with FINRA and SEC guidelines
• Technical proficiency in Microsoft Office Suite and CRM tools
• Adaptability to evolving financial markets and technologies
• Team collaboration for cross-functional support
• Ethical decision-making in client advising
• Data entry and record-keeping accuracy
• Basic understanding of risk assessment in investments

Benefits

• Comprehensive medical, dental, and vision insurance plans with employer contributions
• 401(k) retirement savings plan with generous company matching up to 6% of eligible pay
• Paid time off including vacation, sick days, and 18 weeks of paid parental leave
• Tuition reimbursement program for professional development and advanced degrees
• Employee stock purchase plan allowing discounted purchases of JPMorgan Chase stock
• Wellness programs including gym memberships, mental health support, and fitness challenges
• Flexible work arrangements and hybrid options for eligible roles
• Life and disability insurance coverage with options for supplemental benefits

JP Morgan Chase is an equal opportunity employer.