Compliance Risk Management Lead - Wealth Management Compliance - Vice President

JPMorganChase•Plano, TX

15h

About The Position

As a Compliance Risk Management Lead within Compliance, Conduct and Operational Risk (CCOR), you will work in the Second Line of Defense to help ensure JPMorgan Chase’s compliance framework is implemented and functions effectively. You will support the J.P. Morgan Wealth Management organization, particularly the J.P. Morgan Self-Directed Investing online brokerage platform and associated product areas. The role advises internal stakeholders globally on regulatory requirements and their application to the firm’s business needs. It provides input on business strategies, products, policies, procedures, training, operational processes, risk mitigation, and controls. You will be highly visible to senior management and work with stakeholders across the business, Legal, Risk, Control Management, Technology, Internal Audit, Finance & Business Management, and other control functions. Success requires financial-industry compliance knowledge, familiarity with regulatory best practices, sound judgment, and the ability to manage a broad portfolio of work, including creating and overseeing compliance reviews.

Requirements

University or 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, as 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, such as fixed income, equity, listed options, and margin trading, and related SEC, FINRA, MSRB, and other SRO rules and regulations.
Ability to make independent decisions, work with limited supervision, and excel as a core team member in a dynamic, demanding environment.
Strong written and oral communication, analytical, problem-solving, and project-management skills, with a track record of completing work successfully.
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 the ability to embrace and drive change.
Ability to multitask, prioritize, and thrive in a fast-paced and evolving environment.
Familiarity with artificial intelligence and automation tools, and ability to identify opportunities to apply 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 online investing, digital account opening, investment funding, margin, and lending.
Identify compliance and conduct risks inherent within JPMWM.
Act as an independent Second Line of Defense challenge function, raise issues for remediation, and partner 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 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 business initiatives and technology enhancements and supporting regulatory obligations, corporate requirements, and industry best practices.
Help identify and escalate issues through formal channels and facilitate timely, effective resolutions.
Work with colleagues across 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.