Compliance Risk Management Lead - Wealth Management Compliance - Vice President

JPMorgan Chase & Co. • Plano, TX

1d

About The Position

As a Compliance Risk Management Lead within Compliance, Conduct and Operational Risk (CCOR), you will join a team of Compliance professionals serving as the Second Line of Defense (2LOD) and helping ensure the firm's compliance framework is implemented and functions effectively. The team works globally across lines of business, advising internal stakeholders on regulatory requirements and their application to the firm's needs.

The role provides Compliance support to J.P. Morgan Wealth Management, with a focus on the J.P. Morgan Self-Directed Investing online brokerage platform and associated products. You will work with senior management and stakeholders across the business, Legal, Risk, Control Management, Technology, Internal Audit, Finance & Business Management, and other control functions. The position calls for financial-industry compliance knowledge, regulatory best-practice familiarity, and the ability to manage a broad portfolio of work, including creating and overseeing compliance reviews.

Requirements

• Minimum university/bachelor's degree and at least 6 years of financial-industry experience as a regulator, in a law firm, or in a control function such as Compliance, risk management, an in-house attorney, or audit at a large financial institution offering wealth management, private banking, asset management, and institutional capital markets.
• Expertise in financial investment products and services offered by a broker-dealer and investment adviser, including fixed income, equity, listed options, and margin trading, and related SEC, FINRA, MSRB, and other SRO rules and regulations.
• Ability to make independent decisions and work with limited supervision in a dynamic, demanding environment as a core team member.
• Strong written and oral communication, analytical, problem-solving, and project-management skills, with a successful track record of completing work.
• Strong attention to detail and demonstrated ability to identify potential process and control issues and develop and present solutions to key stakeholders.
• Strong interpersonal and influencing skills, and ability to embrace and drive change.
• Ability to multitask, prioritize, and thrive in a fast-paced, evolving environment.
• Familiarity with artificial intelligence (AI) and automation tools, and ability to identify opportunities to use them to enhance compliance processes and improve efficiency.

Nice To Haves

• Familiarity with Wealth Management and aspects of online brokerage platforms, digital innovation, tools, and technology.
• Understanding of cryptocurrency and digital-asset markets, products, and evolving regulatory frameworks.
• Exposure to multiple risk disciplines, such as credit, investment, fiduciary, and reputation risk.
• Experience with risk management, control management, capital markets structure, compliance, and audit in the financial services industry.
• Self-motivated, driven, and intellectually curious.

Responsibilities

• Advise the JPMWM business on compliance aspects of new and existing products and services, including the online investing platform, digital account opening, investment funding, margin, and lending.
• Identify compliance and conduct risks inherent within JPMWM.
• Act as an independent second line of defense and challenge function, raising issues for remediation and partnering with business process owners on control design, control evaluation, and issue management.
• 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 the business, Risk, Legal, Technology, and business-aligned Corporate Functions.
• Independently manage projects supporting initiatives within CCOR and across the firm globally.
• Draft and maintain Compliance policies, procedures, and bulletins addressing matters such as new business initiatives and technology enhancements, designed to support compliance with regulatory obligations, corporate requirements, and industry best practices.
• Help identify and escalate issues through formal channels and facilitate timely, effective resolutions.
• Work with colleagues in other lines of business, control functions, and regions on regulatory matters, cross-border questions, compliance risk assessments, project management, and consistent approaches to corporate regulatory policies.
• Represent Compliance in governance forums and respond to compliance-related questions from the JPMWM business about new initiatives and day-to-day activities.
• Keep abreast of industry trends and standards and anticipate regulatory areas of focus.

Benefits

• Competitive total rewards package, including base salary and, for eligible roles, commission-based pay and/or discretionary incentive compensation in cash and/or forfeitable equity.
• Comprehensive health care coverage.
• On-site health and wellness centers.
• Retirement savings plan.
• Backup childcare.
• Tuition reimbursement.
• Mental health support.
• Financial coaching.

What This Job Offers

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