Compliance Risk Management Lead - Vice President

JPMorgan Chase & Co. • New York, NY

4d

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 Vice President covering the Futures, Options on Futures (F&O)
and cleared swaps business of the Futures Commission Merchant (FCM), you will
provide regulatory compliance guidance on Commodity Futures Trading Commission
(CFTC), National Futures Association (NFA) and exchange rules and regulations,
 supporting the FCM’s F&O agency execution and Clearing businesses, along with
adjacent functions such as operations, finance, and controls.  You will also
work closely with other lines of business across the firm on cross-product
initiatives.  In addition, you will partner with other Compliance and Legal
teams on assessing and measuring compliance and related risks and developing
common standards and practices.

Requirements

• Experience in drafting compliance policies, bulletins, and manuals.
• Comprehensive understanding of exchanges, clearinghouses, and marketplaces.
• Strong interpersonal and influencing skills.
• Proven ability to communicate effectively at all levels both verbally and in writing.
• Capable of operating comfortably within a complex organizational structure.
• Excellent business judgment and problem-solving skills.
• Self-starter with the aptitude to initiate action, adapt to change, make difficult decisions, and accept challenging assignments.
• Work effectively both in a team environment and independently.
• Manage complex tasks simultaneously in a deadline-intensive, dynamic, fast-paced environment.
• Bachelor’s degree with 4+ years of experience.

Nice To Haves

• Experience with a law firm, regulator, investment bank, broker, or market participant.
• Masters’ or Law degree.

Responsibilities

• Assist in creating and preparing the FCM Annual Chief Compliance Officer Report.
• Create, update and maintain Compliance policies, bulletins and manuals on an ongoing basis.
• Provide day-to-day guidance on execution, and sales practices, registrations/licensing, supervisory duties, conflicts, regulatory reporting obligations, operational matters, and other general FCM regulatory requirements.
• Partner with colleagues in the Legal Department on rule interpretations, analyzing the impact of new regulations, and assist the FCM in implementing such rules and regulations.
• Review new and amended business and customer initiatives for compliance with regulatory requirements.
• Perform compliance reviews and risk assessments, advice on development and implementation of enhanced controls.
• Develop and conduct ad hoc, ongoing, and annual training.
• Establish and maintain open and effective relationships with regulators including the CFTC, NFA, exchanges, clearinghouses and other regulators.
• Assist in preparing information and responses to regulatory examinations, investigations, inquiries, and data and information requests.
• Participate in relevant industry association committees and initiatives.
• Attend business meetings and control forums.

Benefits

• We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location.
• Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions.
• We also offer a range of benefits and programs to meet employee needs, based on eligibility.
• These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more.
• Additional details about total compensation and benefits will be provided during the hiring process.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level