Compliance Risk Management Lead (Asset & Wealth Management) - Vice President

JPMorgan Chase & Co.•New York, NY

11h

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 Wealth Management Solutions Registered Investment Adviser (RIA) Compliance Lead - Vice President within Compliance, Conduct and Operational Risk (CCOR), you will provide regulatory compliance guidance and support to the business, leveraging your deep regulatory knowledge and hands-on experience across both discretionary and non-discretionary investment advisory programs. You will serve as a trusted compliance partner, working proactively to maintain, enhance, and develop an effective control environment. In addition, you will work closely with business leaders and Legal to ensure that all practices, controls, products, and services meet both the letter and spirit of applicable laws and regulations. In this role, you'll bring your deep regulatory knowledge and hands-on experience in discretionary and non-discretionary investment management programs to serve as a trusted compliance partner to the business.

Requirements

10+ years of compliance experience in investment advisory
Extensive knowledge of SEC regulations (e.g., Advisers Act, Compliance Rule), wrap-specific risks, and Form ADV disclosure and delivery requirements
Pro-active, motivated and enthusiastic
Strong leadership skills with experience in cross-functional teams and policy development
Excellent analytical skills
Experience using the MS Suite of products
Ability to work both independently and as a core team member

Responsibilities

Serve as a go-to resource for the line of business, delivering regular compliance advice to help teams navigate the fiduciary regulatory landscape with confidence.
Draft and reviewing Compliance policies, standards and bulletins to support awareness of requirements.
Conduct required Securities and Exchange Commission (SEC) annual compliance review.
Document and maintaining Compliance-owned procedures.
Work with Compliance partners to provide the business clear, actionable compliance guidance on regulatory matters and emerging risks — for both existing offerings and new products and services in development.
Evaluate investment management controls within JPM Wealth Management Solutions and drive opportunities for continuous improvement.
Build strong partnerships with legal, risk, and operational partners to develop a thorough understanding of operational and regulatory risks within a complex environment.