Compliance Risk Management Lead - Vice President

JPMorgan Chase & Co.•New York, NY

51d

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 Vice President within Compliance Conduct and Operational Risk (CCOR), you will act as an independent second line of defense and challenge function in the equity derivatives compliance team, focusing on the Sales and Trading businesses within the Corporate & Investment Bank line of business (LOB). You will be required to closely interact with the Line of Business and global/regional and functional CCOR teams and key stakeholders, including Legal, Business Control Managers, Technology, Internal Audit, Finance & Business Management, and other Control functions. Additionally, you will need to have experience in Compliance, as well as familiarity with regulatory best practices.

Requirements

Bachelor's degree
5+ years of professional experience in the financial services industry in areas such as Compliance, law, risk management or audit
Extensive knowledge of SRO and SEC rules and regulations relating to options compliance (e.g. Consolidated Audit Trail, Transaction Reporting, Best Execution), Sales and Trading.
Ability to review and digest complex content and data, analyze and draw conclusions
Strong organizational and project management skills; able to manage competing priorities under tight deadlines
Strong interpersonal skills, with proven ability to build strong partnerships, collaborate and drive outcomes
Intellectual curiosity with a proven ability to learn quickly
Strong Excel skills

Responsibilities

Act as independent second line of defense and challenge function to derivatives markets and sales and trading businesses, raising issues for the front office to remediate through action plans and partnering with the front office process owners in control design, control evaluation, and issue management of compliance and conduct risks.
Collaborate with legal, regulatory engagement, the business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests.
Build and maintain strong client relationships with front office personnel, business management, control managers, legal, technology and business aligned Corporate Functions.
Work proactively with Business Control Management to maintain, enhance and develop an effective control environment and supervisory program.
Manage projects independently necessary to support initiatives both within the CCOR and across the firm globally.
Draft and maintain Compliance policies, procedures and bulletins reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.
Design and deliver training to support compliance with applicable regulatory obligations, the firm's compliance-related policies and procedures and industry best practices.
Assist the team in identifying and escalating issues through formal escalation channels and facilitating timely and effective resolutions.
Interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, compliance risk assessments, project management and formulating consistent approaches on corporate regulatory policies.
Identify compliance and conduct risks inherent within the equity derivatives business.