Investigator Req #: 180118608 Location: Columbus , OH, US Job Category: Operations Job Description: Chase Wealth Management Executive Office 601 Investigator This position supports the Chase Wealth Management (CWM) line of business. Primary Duties: Investigate CWM customer complaints, including review of complaint correspondence and documents, account records, and recorded customer interactions and interviews of customers, registered representatives, or other Firm employees Communicate resolutions to customers verbally or via written response Ensure that complaint-related Financial Industry Regulatory Authority (FINRA) regulatory filings are prepared and transmitted to the Firm's Licensing & Registration department for filing with FINRA 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 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 preferred 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