at J.P. Morgan
Bulge Bracket Investment BanksPosted a month ago
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**Wealth Management Executive Office Investigator Analyst I** handles non-sales client investment complaints, ensuring fair outcomes and supporting regulatory processes. Responsibilities include thorough case investigation, communicating resolutions, and escalating concerns. Ideal candidates possess a bachelor's degree, 3+ years in the securities industry, strong communication skills, and complaint handling experience. FINRA rules knowledge and relevant licenses (Series 7, 66, etc.) are preferred. In-office role in Columbus, OH.
- Compensation
- Not specified
- City
- Not specified
- Country
- United States
Currency: Not specified
Full Job Description
Location: Columbus, OH, United States
As part of Wealth Management Executive Office, you are at the center of keeping JP Morgan Chase strong and resilient. The successful candidate in this position will join a team of Wealth Management Executive Office 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 Wealth Management Executive Office (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 Investigator Analyst I in J.P. Morgan Wealth Management, you will be responsible for researching and resolving non-sales client complaints. Your role will also involve communicating resolutions to clients and escalating matters when necessary.
Job Responsibilities:
- Research and resolve client complaints, including review of complaint correspondence and documents, account records, and recorded customer interactions and interviews of clients, registered representatives, or other Firm employees
- Communicate resolutions to customers verbally or via written response
- Ensure that potential complaint-related FINRA filings are submitted to the Firm's Registration department for review
- Assist the Firm's Legal Department as needed with pending arbitration and/or litigation involving customer complaints
- Identify and escalate operational or sales conduct-related concerns
- Cross-train on Wealth Management Executive Office intake function and assist with intake of client complaints as needed
Required qualifications, capabilities, and skills:
- Bachelor's Degree
- 3 plus years of securities industry experience
- Strong phone and verbal communication skills
- Advanced writing ability
- Complaint handling experience helpful
- Knowledge of FINRA rules
Preferred qualifications, capabilities, and skills:
- Series 7 and 66 licenses strongly preferred
- Series 9/10, 24, 53, 4, and Life and Disability licenses desirable
- Experience communicating with customers over the phone strongly preferred
Please note this role is not eligible for employer immigration sponsorship.
This is an in-office position and will require the incumbent to work on site five days a week
Investigate and resolve investment client complaints in WM Executive Officediverse team, strong culture, balance, growth.
