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Primary DutiesManage team of at least six associates
Manage logging of complaints per FINRA Rule 4530(d) guidelines, including problem code, product code, and calculation of alleged damages
Ensure that Rule 4530(d) filings are prepared and transmitted to FINRA
Oversee submission of potential Rule 4530(a) and Form U4/U5 filings to Registration and Legal
Approve rejections of non-complaints and closure of resolved complaints
Provide guidance to partners on identification and submission of complaints
Identify and implement logging improvements and efficiencies
Conduct training for WMEO employees and complaint-related training for WMEO partners
Assist WMEO intake manager with special projects, initiatives, and assignments
QualificationsBachelor's Degree
At least 5-10 years of securities industry experience
Complaint handling experience required
Advanced knowledge of FINRA rules
Advanced writing ability
Advanced understanding of investment products and offerings
Series 7 and 66 licenses preferred
Series 9/10, 24, 53, 4, and Life and Disability licenses desirable
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.Equal Opportunity Employer/Disability/Veterans
Vacancy expired!