JPMorgan Wealth Management - Central Supervisory Sales Practice Sr Associate - Columbus, OH and Chicago, IL:

The Sr Sales Practice Associate will be responsible for identifying and reviewing potential sales practice issues. Responsible for addressing escalated cases with the field and interfacing with senior leaders for resolution. Responsible for handling escalations and outreach to the field and senior level stakeholders. Responsible for completing monthly account reviews by evaluating and documenting results of risk based alerts.

Primary Responsibilities Include

• Plan and participate on complex reviews with limited supervision and guidance, including a determination of the books, records and documents requiring examination.


• Ability to initiate and complete high quality reviews, including an ability to work quickly on multiple time-sensitive matters.


• Conduct planned reviews by way of interviews with the business, conduct reviews of books, records, documents; and performing data analysis.


• Collect, organize, and analyze information from a variety of sources to be used in the development of reviews of potential sales practice issues, including broker-dealer documents, trading, and financial information.


• Conduct interviews with parties relevant to the review, where necessary.


• Complete reviews by consolidating the various factual details of a sales practice review into a final report.


• Present findings (orally and/or in writing) to management and other potential constituents in an organized, concise, and timely fashion.


• Proactively identify patterns and trends in reviews that may have impact to more than one customer, more than one advisor, a region and/or national impact.


• Complete account reviews for the purposes of monitoring for ongoing suitability of the investments and activity in a client's account.


• Provide support in firm disciplinary proceedings.


• Use computer resources and software applications for data and information analysis pursuant to department procedures.

Skills & Competencies

• Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.


• Demonstrates good critical thinking, analytical research, and quantitative skills.


• Good written and verbal communications skills, including an ability to gather evidence through the use of telephone and in-person interviews.


• Good organizational skills with exceptional attention to detail.


• Familiarity with the use of computer programs with the full suite of office software applications.


• Good oral and written communication skills.


• Possess good time management skills.


• Possess good computer skills (e.g., Access, Excel, Word, and PowerPoint).


• Demonstrated communications ability.

Required Years of Experience

4+ years of experience in the securities / investment industry

Additional Qualifications

Experience conducting broker/dealer sales practice reviews preferred.

Knowledge of FINRA, MSRB and SEC rules and regulations.

Licenses, Designations, and Education Requirements

Active and valid FINRA Series 7 and one or more of the following licenses are required to be considered for the role: FINRA Series 66 (63,65), 9/10 (4,24,53).

FINRA Series 7, 66 (63,65), 9/10 (4,24,53), licenses are required to perform all job duties associated with the role.

If any of the licenses not already held, they must be obtained within 120 days of starting in the role as a condition of employment.

Required Education

Bachelor's Degree preferred

Advanced knowledge of securities industry rules, regulations and guidelines and significant and equivalent experience in a directly related securities industry position may substitute for bachelor's degree