The Sales Practice Manager will be responsible for identifying and reviewing potential sales practice issues. Responsible for managing escalations and outreach to the field and senior level stakeholders. Responsible for managing complex, high risk escalations from end-to-end and outreach to the field and executive level stakeholders.

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.
• Organize and prepare the monthly proactive reporting for the sales practice review team.
• Assist with closing monthly proactive reviews completed by the sales practice review team by performing a quality assurance check of the closing documentation.
• 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.
• Overall work is subject to review and correction by the Supervisory Sales Practice Review Team Manager, Director and/or the Head of Sales Practices.
• Provide support in firm disciplinary proceedings.
• Use computer resources and software applications for data and information analysis pursuant to department procedures.
• Responsible for influencing, clearly articulating, and aligning stakeholders to final resolution.

Skills & Competencies

• Possess a competent level of knowledge of relevant securities rules, regulations, guidelines, securities products, and industry practices.
• Demonstrates a high level of critical thinking, analytical research, and quantitative skills.
• Strong written and verbal communications skills, including an ability to gather evidence through the use of telephone and in-person interviews.
• Strong organizational skills with exceptional attention to detail.
• Familiarity with the use of computer programs with the full suite of office software applications.
• Ability to identify the data needed and run ad-hoc reporting for the sales practice review team.
• Able to assist with developing and testing new reports with limited supervision and guidance.
• Ability to run a variety of metrics on a monthly basis for the sales practice review team
• Strong oral and written communication skills.
• Possess strong time management skills.
• Possess strong computer skills (e.g., Access, Excel, Word, and PowerPoint).
• Demonstrated communications ability.
• Deep understanding and experience of advisory services and a multitude of products and complex client accounts

Required Years of Experience

7+ years in the securities and investment industry

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), all 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

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 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. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

The health and safety of our colleagues, candidates, clients and communities has been a top priority in light of the COVID-19 pandemic. JPMorgan Chase was awarded the "WELL Health-Safety Rating" for all of our 6,200 locations globally based on our operational policies, maintenance protocols, stakeholder engagement and emergency plans to address a post-COVID-19 environment.

As a part of our commitment to health and safety, we have implemented various COVID-related health and safety requirements for our workforce. Employees are expected to follow the Firm's current COVID-19 or other infectious disease health and safety requirements, including local requirements. Requirements include sharing information including your vaccine card in the firm's vaccine record tool, and may include mask wearing. Requirements may change in the future with the evolving public health landscape. JPMorgan Chase will consider accommodation requests as required by applicable law.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, discretionary incentive compensation which may be 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.

Equal Opportunity Employer/Disability/Veterans