JPMorganChase Wealth Management — Vice President, Client Safeguarding Team Leader

JPMorganChase Wealth Management is dedicated to helping investors achieve long-term financial goals through the Chase Wealth Management business, J.P. Morgan Advisors, and the Self-Directed online investing platform. The combined business manages approximately $650B in assets and includes 4,500 advisors across nearly 5,000 locations.

As a Vice President, Client Safeguarding Team Lead, you will lead a specialized front-line escalation team within the Wealth Management service organization responsible for fraud/scam, AML-related concerns, and Elder/Vulnerable Person (EVP) escalations routed through service channels. This is not a generalist service role—it requires strong investigative judgment, regulatory awareness, and the ability to ensure complex cases are owned end-to-end while balancing client protection, policy adherence, and a high-quality client experience.

You will be accountable for building a high-performance culture centered on client obsession, hospitality, and safeguarding, while ensuring a strong risk and control environment. You will partner closely with client-facing teams, operations, risk/control partners, and other stakeholders to drive consistent, timely outcomes and to identify trends that strengthen controls and reduce repeat issues.

Target operating hours: Monday–Friday 7 a.m.–8 p.m. CST (8 a.m.–9 p.m. EST) and Saturday 8 a.m.–4 p.m. CST (9 a.m.–5 p.m. EST).

Job Responsibilities

• Lead and develop a team of licensed safeguarding/escalations professionals; set clear expectations, coach for performance, and create a culture of excellence, client obsession, and high performance.

• Champion a Client First culture by delivering a best-in-class experience in high-stakes interactions, ensuring professionalism, empathy, and clarity while executing safeguarding actions aligned to policy and controls

• Drive talent and performance strategies, including coaching, development, promotion planning, and structured call monitoring/quality reviews to ensure consistent client interactions and case outcomes.

• Foster and enforce a culture of risk and control, acting with appropriate urgency and responsibility to safeguard customers and the business.

• Partner closely across the firm (e.g., Wealth Management Client Operations, advisors, servicing teams, risk/control partners, and Global Securities & Investigations “GSI”) to drive timely, consistent resolution and escalation governance.

• Review and validate outcomes for repeat-caller and high-risk accounts; correct gaps in rationale, documentation, or controls execution; and ensure audit-ready case records.

• Evaluate and govern exceptions to standard procedures, determining appropriateness and coordinating approvals and documentation.

• Identify trends and recurring drivers of escalations to inform process improvements, controls enhancements, training needs, and client experience improvements; participate in working groups, pilots, and projects supporting the safeguarding operating model.

• Promote diversity and inclusion, setting the tone and proactively implementing solutions that strengthen team culture and effectiveness.

• Maintain readiness through ongoing learning of evolving fraud typologies, policy updates, and relevant regulatory guidance (e.g., FINRA 2165 and applicable state laws).

Required Qualifications, Capabilities, and Skills

• Active FINRA Series 7 and Series 63 (or equivalent) required, including meeting continuing education requirements; ability to maintain registration in all 50 states/territories, as applicable.

• FINRA Series 9/10 (or equivalent) required or ability to obtain within a defined onboarding period as a condition of employment.

• Demonstrated ability to make high-impact fraud/EVP escalation decisions under pressure while adhering to policy, controls, and regulatory requirements.

• Strong risk, compliance, and control mindset with consistent execution and sound judgment to safeguard customers and the business.

• Proven leadership and people development experience with a track record of developing and coaching high-performing teams.

• Outstanding client communication skills (phone and written), including de-escalation, empathy, and confidence in difficult conversations.

• Strong documentation discipline and ability to produce clear, auditable case notes suitable for regulatory, legal, and internal review.

• Ability to partner across the firm, influence outcomes in a matrixed environment, and collaborate with various teams to define/execute the team’s strategic vision

• Strong prioritization, urgency, execution, and delivery; ability to manage competing deadlines in a fast-paced environment.

• High degree of investment services/product acumen and keen interest in financial markets.

Preferred Qualifications, Capabilities, and Skills

• 5 years of financial services/brokerage experience, with exposure to fraud, disputes, AML/fraud operations, or fraud/safeguarding/EVP handling.

• Experience within a service center and/or segmented/affluent service model, including first-line escalation handling and comfort with a call-center construct.

• Demonstrated ability to recruit, source, and attract internal/external talent by building and maintaining a personal network of contacts.

• Familiarity with a wide array of financial products and complex service transactions (e.g., money movement, transfers, complex trade requests) that can elevate fraud/EVP risk.

• Bachelor’s degree preferred (or equivalent relevant work experience).

• Professional certifications/training in financial crime (e.g., ACAMS-related credentials) a plus.

• Demonstrated experience contributing to process improvement, thematic root-cause identification, and control enhancements in an escalation’s environment.