Compliance Risk Management Senior Officer - Wealth Management Solutions - Associate
About The Position
As a Compliance Risk Management Officer within JPMorgan Wealth Management and the Compliance Conduct and Operational Risk (CCOR) organization, you will partner with trading desks, business leaders, and control functions to provide compliance coverage and advisory support for Wealth Management equities and fixed income trading activities. You will identify and assess regulatory and compliance risks, advise on regulatory requirements, support the design and enhancement of controls, and contribute to the firm's overall compliance framework. The role provides direct exposure to trading, market structure, distribution activities, and regulatory change management across Wealth Management businesses. JPMorgan Chase's Risk Management and Compliance teams help the firm grow responsibly by anticipating emerging risks and addressing challenges affecting the company, customers, and communities. Compliance teams advise internal stakeholders globally on regulatory requirements and their application to the firm's needs, and contribute to business strategies, products, policies, training, operational processes, risk mitigation, and controls.
Requirements
- At least 3 years of experience in trading Compliance, market regulation, risk management, or a related control function.
- Working knowledge of SEC, FINRA, and MSRB rules affecting securities trading and distribution activities.
- Familiarity with best execution, trade reporting, market conduct, and supervisory control frameworks.
- Strong analytical, problem-solving, and written communication skills.
- Ability to manage multiple priorities and build effective relationships across business and control functions.
- Bachelor's degree required.
Nice To Haves
- Experience supporting equities and fixed income trading businesses.
- Experience interacting with regulators, auditors, and control partners.
- Knowledge of primary market activities, including securities distributions and related regulatory requirements.
- JD, MBA, or relevant industry certifications.
Responsibilities
- Provide compliance advisory coverage for Wealth Management equities and fixed income trading activities.
- Advise on regulatory requirements impacting trading businesses, including best execution, trade reporting, sales and trading conduct, and distribution of securities.
- Maintain and enhance policies, procedures, and standards governing trading-related activities.
- Participate in risk assessments and challenge the identification and management of regulatory and compliance risks.
- Identify control gaps, determine root causes of issues, and partner with stakeholders to develop and implement corrective actions.
- Support regulatory examinations, audits, inquiries, and remediation efforts.
- Partner with Surveillance, Operational Risk, Legal, and other control functions to promote a strong compliance culture and effective risk management framework.
- Conduct targeted reviews, ongoing monitoring activities, and special projects related to trading and market conduct compliance.
- Assist with implementation of regulatory developments, business initiatives, and new products impacting Wealth Management trading activities.
Benefits
- Comprehensive health care coverage
- On-site health and wellness centers
- Retirement savings plan
- Backup childcare
- Tuition reimbursement
- Mental health support
- Financial coaching
- Eligible roles may receive commission-based pay and/or discretionary incentive compensation in cash and/or forfeitable equity
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What This Job Offers
Job Type
Full-time
Career Level
Senior
