JP Morgan Private Bank - Client Service Supervisory Manager - Newark, DE

Private Bank Supervisory Manager

Make a meaningful impact in a highly trusted part of the Private Bank. Join a team that safeguards clients and advisors by strengthening supervisory oversight and operational excellence. You'll partner across Client Service, Operations, Compliance, and Legal to resolve issues, improve processes, and prepare branches for exams. Your expertise will keep our brokerage activities compliant, and our clients protected. Grow your career while helping us raise the bar on supervision.

As a Private Bank Supervisory Manager, you oversee brokerage-related supervision for U.S. Client Service locations and serve as a central escalation point. You partner with us to resolve trade errors, guide registration matters, prepare branch exams, and drive process improvements. Together, we ensure adherence to regulatory requirements and internal standards while supporting employees and clients with timely, risk-based decisions.

Job Responsibilities

Oversee brokerage supervision for Client Service locations and act as the primary contact for supervisory inquiries

Partner with Market Supervisory Managers and Operations to resolve trade errors and close error claims

Process cancel/corrects, assign error responsibility, and complete error reporting

Guide Client Service Management on employee registration matters; produce and review registration and location reports

Prepare Monthly Supervision Reviews and lead monthly meetings with Client Service Branch Office Managers

Support Compliance Annual Branch Exams and coordinate documentation and readiness across eight branches

Prepare for internal audits, Compliance Testing, and external regulatory exams; demonstrate adherence to policy

Serve as the escalation point for situations involving Senior Clients or vulnerable clients

Review and approve gifts to employees; monitor E-Comm violations, LinkedIn changes via Hearsay, and outside interests

Analyze outlier trade and PAD violation reports; identify trends and recommend corrective actions

Assist with surveillance inquiries, brokerage complaints, and cross-functional requests from Control and Operations

Required Qualifications, Capabilities, and Skills

Minimum 2 years of experience in supervisory management, client service, controls, or compliance within a brokerage or wealth management firm

Demonstrated risk-based decision-making with a strong sense of urgency

Excellent communication, listening, and stakeholder management skills across all levels

Proven ability to assess complex issues and drive timely, durable solutions

In-depth knowledge of brokerage regulatory requirements and best practices

Strong organization, follow-up, and time management skills in a dynamic environment

Ability to analyze trends, identify gaps, and implement process improvements

Proficiency with Microsoft Office (Excel, Word, PowerPoint); strong systems navigation

Effective collaboration across Client Service, Operations, Compliance, Legal, and other partners

Active FINRA Series 7 and 66 (or 63 and 65)

Active FINRA Series 9 and 10 and Series 4 (required to perform full job duties; must be obtained within 120 days if not already held)

Preferred Qualifications, Capabilities, and Skills

Bachelor's degree

Experience preparing for internal audits, compliance testing, or regulatory exams

Hands-on experience with trade error resolution, cancel/correct processing, and error reporting

Familiarity with registration reporting and CRD-related processes

Experience handling escalations involving senior clients or older vulnerable clients

Exposure to Hearsay monitoring, E-Comm reviews, and outside interest oversight

Track record of leading process improvements in supervisory or client service functions

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans