Wealth Management Executive Office Sr Investigator

Description

As part of Wealth Management Executive Office (WMEO), you are at the center of keeping JP Morgan Chase strong and resilient. The successful candidate in this position will join a team of WMEO Investigators from a diverse range of backgrounds and experience who review, research, resolve, and respond to the client complaints related to investments. When someone joins the WMEO, you will feel that this is a place where we promote work life balance, career progression, and a positive culture.

As a Wealth Management Executive Office VP Senior Investigator in J.P. Morgan Wealth Management, you will be responsible for researching and resolving non-sales and sale practice client complaints from clients, attorneys and regulators. Your role will also involve communicating resolutions to clients, attorneys and regulators, and escalating matters when necessary.

Job Responsibilities:

Research and resolve client complaints, including review of complaint correspondence and documents, account records, and recorded client interactions, and interviews of clients, registered representatives, or other Firm employees

Investigate all regulator (i.e., SEC, FINRA, etc.) and attorney complaints

Communicate resolutions verbally or via written response

Ensure that potential complaint-related FINRA filings are submitted to the Firm's Registration department for review

Partner with the Firm’s Legal department on resolutions for regulatory and attorney complaints

Assist the Firm’s Legal department as needed on responses to regulatory inquiries regarding client complaints, and pending arbitration and/or litigation involving client complaints

Identify and escalate operational and employee sales misconduct-related concerns

Required qualifications, capabilities, and skills:

Bachelor's Degree

Series 7 required

At least 5 years of securities industry experience

Strong phone and verbal communication skills

Experience with J.P. Morgan Wealth Management

Advanced writing ability

Preferred qualifications, capabilities, and skills:

J.D. Degree preferred

Experience handling complaints preferred

Series 66, 9/10, 24, 53, 4, and Life and Health desirable

At least 5 years of securities industry experience

Experience communicating with clients over the phone strongly preferred

Experience with the Private Bank helpful

This role does not offer visa sponsorship.

This is an in-office position and will require the incumbent to work on site five days a week.