Compliance Risk Management Lead - Vice President

JPMorgan Chase & Co.•New York, NY

55d

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 the Compliance Risk Management Director within the Compliance, Conduct and Operational Risk (CCOR) organization, you will effectively collaborate with Line of Business (LOB) and global/regional Compliance teams, including Internal Audit, Operational Risk, and other Control functions, as well as Legal and Business Management. In this role, you will leverage your knowledge and experience in Compliance, along with familiarity with regulatory and audit best practices. Additionally, you will serve as an independent second line of defense and challenge function to the Global Investment Banking business within the Commercial & Investment Bank line of business (LOB).

Requirements

7+ years' experience within an investment bank, law firm or regulator covering investment banking and equity capital markets instruments and products.
Extensive knowledge of SRO and SEC rules and regulations relating to investment banking syndicate, sales, trading, and capital markets.
Ability to work both independently and as a core team member
Excellent research, analysis, written and interpersonal and communication skills
Detail-oriented; possess a high-level of attention to detail and quality for their work product
Bachelor's degree required

Responsibilities

Identify compliance and conduct risks inherent within product offerings such as IPOs, follow-on/secondaries, block trades, buybacks, private placements, and convertible securities offerings and corporate derivative structures.
Act as independent second line of defense and challenge function to Global Investment Banking, 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.
Build and maintain strong client relationships with front office personnel, business management, control managers, technology and business-aligned Corporate Functions
Work proactively with the front office to maintain, enhance and develop an effective control environment and supervisory program.
Work with business management to ensure the front office maintains effective written supervisory procedures.
Assist team with reporting, metrics, project management, and conducting compliance risk assessments.
Develop and perform reviews designed to effectively monitor the activities conducted by the front office and other support groups.
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.
Collaborate with the business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests as well as interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies.
Manage projects necessary to support initiatives both within CCOR and across the firm globally as well as assist team in identifying and escalating issues through formal escalation channels, and facilitating timely and effective resolutions.