Compliance Risk Management Lead - Vice President

JPMorgan Chase • New York, NY

81d • $128,250 - $195,000

About The Position

Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Lead within the Compliance, Conduct and Operational Risk (CCOR) organization, the role involves collaboration with various stakeholders, including the Line of Business (LOB), global and regional Compliance teams, Internal Audit, Operational Risk, Control, and other functions. The candidate should possess expertise in Compliance and a strong understanding of regulatory, audit, and related best practices. The responsibilities include supporting the Asset Management (AM) LOB Compliance in the Global Equities and Global Fixed Income compliance programs.

Requirements

• Bachelor's degree
• 8+ years of relevant industry experience in compliance, audit, risk management, or similar control-related function, including knowledge of, and experience with, the Investment Advisers Act of 1940
• Effective Communication Skills: Must possess excellent written and oral communications skills, including the ability to conduct training and group presentations
• Commitment to precision and adherence to disciplined processes is essential
• Collaborative and Adaptable Team Player: Must thrive in a dynamic, global team environment and embrace collaboration
• Demonstrates a passion for regulatory best practices and a desire to learn about investment concepts; able to work independently with good time management skills
• Must bring initiative, energy, intellectual curiosity, and a strong dedication to achieving results
• Must have strong interpersonal skills and be flexible in work style and be able to work appropriately with global stakeholders and colleagues at all levels

Nice To Haves

• Knowledge of, and experience with, additional regulations including ERISA, the Investment Company Act of 1940, and 12 CFR Part 9 preferred
• Experience using Python, AI, and other technology resources to design and implement compliance monitoring and testing
• MBA or professional certification (CFA, CPA, etc.) highly desirable
• Audit, Regulatory and/or Testing experience desired

Responsibilities

• Work closely with CCOR subject matter experts in harmonizing policy and practices across regions
• Conduct targeted monitoring activities and identify processes that could be automated
• Support LOB Advisory Compliance Matters including, but not limited to: Interact with LOB employees and other stakeholders to provide compliance advice and guidance on regulatory topics
• Review and disposition trade alerts escalated from Trade Surveillance and reporting/escalation to the Market Conduct Violation Program
• Assist in the completion of Compliance Risk Assessment matters, including challenges
• Manage the expert networks process, including chaperoning calls
• Develop and provide instructor-led compliance training
• Make compliance presentations in client meetings
• Work collaboratively with global team members across LOBs and staff areas, including senior management; be both a leader and an active participant in various working groups
• Stay current and advise on regulatory updates (SEC and other) impacting the asset management business

What This Job Offers

• Job Type: Full-time
• Industry: Credit Intermediation and Related Activities
• Education Level: Bachelor's degree