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.