J.P. Morgan Wealth Management- Assoc, Executive Office Investigator I

This position supports J.P. Morgan Wealth Management.

Primary Duties:

* 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

Qualifications:

* Bachelor's Degree

* At least 3 years of securities industry experience

* Strong phone and verbal communication skills

* Experience communicating with customers over the phone strongly preferred

* Complaint handling experience helpful

* Knowledge of FINRA rules

* Series 7 and 66 licenses strongly preferred

* Series 9/10, 24, 53, 4, and Life and Disability licenses desirable

* Advanced writing ability