Compliance - Risk Management Oversight Program Lead - Vice President

JPMorgan Chase & Co.•Jersey City, NJ

18h•$128,250 - $195,000

About The Position

As a Vice President Compliance Risk Management Oversight Program Lead in Asset Management Compliance, Operations Coverage team, you will provide day-to-day compliance support for Asset Management Operations. You will also lead the team’s use of generative artificial intelligence, large language models, and other technology to enhance oversight of our areas of coverage, including Operations, Liquidity, Sales and Distribution, Client Service, RFP team, Employee Compliance, Broker Dealer and CTO/CTA activities. You partner with senior stakeholders across the business, Legal, Risk, and control functions to provide independent challenge and practical guidance. You help us strengthen governance, monitoring, testing, and issue management across a broad set of operational activities and regulatory obligations.

Requirements

7 years plus of experience in asset management, broker-dealer, or investment adviser environments, or in related compliance, legal, audit, risk, controls, or sales roles
Demonstrated ability to provide independent oversight and credible challenge to business processes and controls
Experience designing or executing compliance monitoring, testing, and risk assessment activities
Strong stakeholder management skills, including partnering effectively with senior executives and cross-functional teams
Strong written and verbal communication skills, including ability to draft clear policies, bulletins, and training materials
Proven ability to manage multiple priorities with urgency, sound judgement, and attention to detail
Strong experience in applying data analytics, generative artificial intelligence, large language models, and related technology to improve compliance oversight or reporting
Experience supporting regulatory examinations or regulatory information requests

Nice To Haves

Operational experience in the financial industry supporting asset management activities
Experience supporting investment management risk oversight activities

Responsibilities

Provide day-to-day compliance support and guidance for Asset Management Operations activities
Lead development and maintenance of a technology-enabled compliance oversight program, including use of generative artificial intelligence and large language models
Oversee second line of defense challenge of business processes and controls through control and operational risk evaluations and related risk assessments
Develop and execute monitoring and testing programs, including risk and control assessments, for operations activities
Deliver compliance training and draft compliance bulletins and policies covering control expectations and regulatory developments
Review policies and procedures and advise on issue management and change management, including procedure updates
Coordinate with global compliance counterparts to promote consistent oversight practices and outcomes
Support governance committees and act as a delegate when appropriate, providing risk-based input and escalation
Support responses to regulatory engagements, including examinations and information requests
Review and disposition market conduct cases involving operations personnel in accordance with the violation framework
Contribute to broader coverage across sales and distribution, liquidity, employee compliance, client service, fiduciary and adviser obligations, data risk, among other areas.