INGRID E. MORGAN
JPMORGAN CHASE
Aubrey,TX
1
Certification
14
years of professional experience
Results-driven Senior Financial Services and Wealth Management Leader with 15 years of experience in investment operations, client servicing, and risk management. Expertise in leading high-performing teams, enhancing operational controls, and executing strategic initiatives within regulated environments. Skilled in workforce planning, audit readiness, and process improvement, with a focus on talent development and operational performance.
Work History
Client Data Manager III, Vice President
2 Years 3 Months- Lead a high-performing team responsible for post-account-opening maintenance and servicing of investment accounts, ensuring accurate, timely, and compliant execution of complex client and advisor requests.
- Direct complex account maintenance activities including Power of Attorney, beneficiary and guardianship updates, address and registration changes, trading permissions, account coding, restrictions, and other account-level servicing requirements.
- Drive operational performance through oversight of workflow, productivity, service levels, quality, and workforce capacity, aligning resources with business demand and client commitments.
- Strengthened operational risk and control environment through disciplined execution of procedures, documentation standards, approvals, quality controls, and supervisory practices.
- Leveraged performance metrics and error trends to identify root causes, mitigate operational risk, and implement targeted process improvements.
- Serve as a senior escalation point for complex account maintenance issues, partnering with Financial Advisors, Compliance, Risk, Legal, Technology, and Operations stakeholders to drive timely resolution.
- Lead audit preparation and remediation activities, ensuring control gaps and audit findings are addressed within established timelines.
- Championed continuous improvement initiatives that enhanced controls, reduced errors, and improved client and advisor experience.
Head of JPMA Account Maintenance, Vice President
2 Years- Led JPMA Brokerage Account Maintenance supporting more than 3,000 Financial Advisors nationwide within a complex wealth management operating environment.
- Acted as Designated Supervisory Principal for 22+ FINRA-licensed employees and provided oversight of 68+ registered individuals, maintaining adherence to FINRA Rule 3110 and the firm's supervisory framework.
- Directed operational strategy across forecasting, capacity planning, resource utilization, compliance, productivity, efficiency, and continuous improvement.
- Collaborated with Product and Technology leaders to manage digital client experience and servicing roadmaps, aligning business objectives and key results with product strategy.
- Partnered with Product and Technology leaders to oversee digital client experience and servicing roadmaps, aligning business objectives and key results with product strategy.
- Drove operational change by identifying and implementing improvements to turnaround times for client and front-office requests.
- Led internal and external regulatory audit walkthroughs for JPMA Account Maintenance Operations, contributing to satisfactory audit outcomes through strong preparation, control execution, and stakeholder partnership.
- Delivered monthly business reviews to senior management, showcasing operational metrics, business accomplishments, strategic initiatives, and emerging risks.
- Identified and developed high-potential talent through tailored talent and performance management processes, enhancing team capability.
- Built a strong and diverse talent pipeline, with diverse candidates representing 75% of management staff and 56% of the overall organization.
Operations Manager
1 Year 8 Months- Managed the onboarding and post-account-opening servicing model supporting the YouInvest digital investing launch across Chase Wealth Management, JPMorgan Advisors, and Private Bank.
- Translated business objectives into operational execution by identifying opportunities to improve processes, team performance, and the overall client servicing model.
- Led teams of FINRA Series 24-licensed principals responsible for new client onboarding, account opening, and brokerage account maintenance.
- Coached and developed professionals using Lean-Agile principles, enhancing individual performance and collaboration while promoting continuous improvement.
- Led People Pillar for Client Operations, enhancing employee engagement, trust, empowerment, diversity, and inclusion within functional teams.
- Fostered entrepreneurial, continuous-improvement culture by encouraging employees to identify and implement process improvements, enhancing service delivery and organizational effectiveness.
Operations Team Manager
2 Years 1 Month- Led Operations Specialists responsible for post-account-opening maintenance of Chase Wealth Management investment accounts.
- Directed employee performance through coaching, development, recognition, and performance management to enhance team capabilities.
- Directed employee performance through coaching, development, recognition, performance management, and corrective action.
- Led escalation and problem-resolution efforts by researching complex issues and driving timely complaint resolution.
- Developed individual growth opportunities and strengthened employee capabilities through targeted coaching and development.
- Served as an escalation and problem-resolution leader, researching complex issues and driving timely complaint resolution.
- Managed departmental objectives and Service Level Agreements to maintain high standards in operational and client service delivery.
New Accounts Business Analyst
2 Years 3 Months- Delivered business analysis and testing support for first DWM YouInvest account launch at JPMorgan Chase, ensuring successful deployment.
- Created test plans, test cases, and scripts to validate DWM account functionality and facilitate digital releases.
- Led coordination of testing and quality assurance activities among business and technology teams, enhancing collaboration and efficiency.
- Led business analysis for second- and fourth-quarter digital releases in 2016 and 2017.
- Partnered with project managers, developers, and business stakeholders to identify, prioritize, and resolve system defects.
- Performed process and data mapping, requirements gathering, analysis, and detailed business documentation.
Supervision Officer
1 Year 10 Months- Performed supervisory review of inbound and outbound electronic communications to ensure compliance with firm policies and supervisory standards.
- Monitored communications for concerning trends and patterns and escalated potential supervisory issues.
- Reviewed and assessed suitability associated with select new accounts and investment products.
- Conducted outbound quality assurance calls, ensuring clients understood risks and fees associated with securities transactions to enhance informed decision-making.
- Provided supervisory approval of 529 Plan applications.
- Reviewed market and advertising materials for compliance, providing timely supervisory approval to uphold regulatory standards.
Senior Operations Specialist
1 Year 5 Months- Processed 145+ model changes, ensuring adherence to Service Level Agreements.
- Managed escalated requests from managers and Financial Advisors, researching issues and driving resolution.
- Performed quality control reviews of trades submitted by Traders and Financial Advisors.
- Provided operational support to the Broker Service Call Center and Financial Advisors.
- Managed escalated requests from managers and Financial Advisors, researching issues to drive timely resolutions.
- Produced daily and weekly management reports, maintaining accuracy and meeting delivery deadlines.
- Assisted in developing procedures supporting the cease-trade log and related operational controls.
Education
Bachelor of Science - Accounting
GPA: 3.7
Skills
Wealth Management Operations
Investment Account Maintenance
Client & Advisor Servicing
FINRA Compliance
Operational Risk & Controls
Audit readiness
Process improvement
Performance analytics
Service-level management
Stakeholder Collaboration
Performance Management
Strategic Planning
Accomplishments
- Rising Stars Award, 2020
- Top Scorecard Employee of the Month
- International Student Leadership Award
- All American Scholars
- Super Clubs International Scholarship
Certification
FINRA Series 7 | Series 9 | Series 10 | Series 24 | Series 66 | Series 99
Timeline
Client Data Manager III, Vice President
JPMORGAN CHASE
06.2024 - CurrentRead More
Head of JPMA Account Maintenance, Vice President
JPMORGAN CHASE
06.2022 - 06.2024Read More
Operations Manager
JPMORGAN CHASE
10.2020 - 06.2022Read More
Operations Team Manager
JPMORGAN CHASE
09.2018 - 10.2020Read More
New Accounts Business Analyst
JPMORGAN CHASE
06.2016 - 09.2018Read More
Supervision Officer
JPMORGAN CHASE
08.2014 - 06.2016Read More
Senior Operations Specialist
JPMORGAN CHASE
03.2013 - 08.2014Read More
Franklin University
Bachelor of Science from Accounting
Read More