JPMS Insurance Supervisory Manager, Vice President
JPMorgan Chase - New York, NY

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Job Description

The Insurance Supervisory Manager (ISM) is responsible for all aspects of sales supervision and risk review of JPMS insurance transactions. The ISM coordinates and works closely with Risk Management, Compliance and Legal on issues that arise.

Supervisory responsibilities will include (but not limited to):

Assist in the development of the newly formed JPMS Insurance Sales Platform

Review and pre-approve suitability of insurance applications for JPMS

Continuous oversight of the trading practices of Advisors with respect to regulatory requirements and internal policy

Assist in overall effort to continually review and enhance tools, reports and programs used to monitor investment trades to make certain supervisory processes are as thorough as possible

Help identify potential gaps in supervisory policies and procedures, and to work with Management and Compliance to continually enhance policies and procedures

Work with Supervisory Managers, Risk Management and Compliance to resolve Surveillance inquires

Appropriately escalate and help resolve supervisory issues as warranted

Monitor for, and appropriately address concerning business trends and patterns

Track supervision inquiries and address open items to prevent excessive aging

Respond to Compliance and Audit Examinations on a priority basis

Assist in the on/off boarding of JPMS staff

Serve as a point of contact for resolution of questions or issues that may occur during the course of business

Strong understanding of regulatory requirements and best practices within the insurance brokerage environment

Strong interpersonal communication skills are required

Strong organization and follow up skills. Ability to work well on an integrated team

Comfortable making decisions independently and dealing with conflict in high stress situations

Ability to effectively communicate with all levels of personnel within J.P. Morgan

Excellent computer navigational skills


Life & health license required

Minimum licensing requirement FINRA Series 7, 63 (65 or 66), 8 (9 & 10) or 24, 53 & 4 in lieu of the 8 (9 & 10)

7-10 years of experience/skills as a Supervisory Manager with a Brokerage or Wealth Management Firm

BA/BS required


Asset Management

Primary Location

US-NY-New York-277 Park Avenue / 03363


Asset & Wealth Management



Job Type



Day Job

Employee Status


About this company
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