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.

Chase is a leading financial services firm, helping nearly half of America’s households and small businesses achieve their financial goals through a broad range of financial products. Our mission is to create engaged, lifelong relationships and put our customers at the heart of everything we do. We also help small businesses, nonprofits and cities grow, delivering solutions to solve all their financial needs.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

Equal Opportunity Employer/Disability/Veterans