Compliance Risk Management Lead - Vice President

JPMorgan Chase & Co.•New York, NY

1d•$128,250 - $195,000

About The Position

As a Compliance Risk Management Lead-Vice President within J.P. Morgan Securities LLC (JPMS LLC), you will provide advisory Compliance coverage for structured notes and OTC derivatives within the Private Bank. You will support business activity subject to the rules and requirements of the CFTC, SEC, NFA, and FINRA, and focuses on delivering timely, practical guidance to the Front Office and control partners while strengthening governance, supervisory frameworks, and exam readiness across overlapping lines of business and other broker-dealer obligations.

Requirements

Bachelor’s degree (or equivalent experience).
3+ years of experience in Compliance advisory, or related Legal/Risk/Audit roles with strong complex products exposure.
Working knowledge of structured notes and OTC derivatives and the associated distribution, conduct, and supervision risks in a broker-dealer context.
Demonstrated ability to navigate overlapping regulatory regimes and deliver clear, risk-based advice.
Excellent written and verbal communication skills, including drafting guidance, procedures, and training materials.

Nice To Haves

Familiarity with CFTC Swap Dealer and/or SEC Security-based Swap Dealer requirements as they relate to OTC derivatives
Knowledge of private wealth distribution models and complex product governance (new product approval, eligibility frameworks, exception management).
Experience partnering with Technology/Operations on workflow controls and evidence capture; comfort leveraging data to identify themes and drive mitigants.

Responsibilities

Provide day-to-day advisory support to Private Bank stakeholders on structured notes and OTC derivatives, including escalations, issue triage, and interpretive guidance.
Advise on requirements applicable to activities spanning broker-dealer (FINRA/SEC) regimes, and help translate those obligations into implementable controls and procedures.
Support complex product distribution controls across the lifecycle, including client on-boarding and eligibility considerations; sales practices and supervision expectations; and review of structured note term sheets, marketing materials and training content.
Provide advisory input into OTC derivatives documentation and related client-facing materials (in coordination with Legal and documentation teams).
Partner with Supervision and monitoring teams to enhance surveillance and monitoring for complex products and derivatives activity (e.g., concentration, roll activity, unwind patterns, outliers, exceptions, and thematic risk indicators).
Participate in regulatory examinations and inquiries (CFTC, SEC, NFA, FINRA), including evidence gathering, drafting responses, and tracking commitments through closure.
Contribute to compliance risk assessments, policy/procedure updates, training, and governance forums (e.g., new product approval / complex products committees).
Support issue management and remediation, including root cause analysis, action plan design, and validation of sustainable fixes.
Monitor and assess regulatory developments impacting structured notes and OTC derivatives; develop guidance and targeted training to support implementation.