Compliance Risk Management Lead - Vice President

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 part of Compliance, Conduct and Operational Risk (CCOR) you are at the center of helping the firm understand, manage and anticipate risks in a constantly changing environment. CCOR provides independent oversight of the firm’s compliance, conduct, and operational risks and maintains a strong control environment. The work covers areas such as review and challenge of LOB/Functions compliance and operation risk assessments, compliance training, understanding regulatory changes, creation of risk monitoring and testing activities to assess control effectiveness. 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. If you are a team player, are solutions-oriented and have an appetite for learning, you’ll be a great fit for our team. The VP role will have a primary focus for coverage of the US Broker-Dealer(s) Compliance program. 

As a Vice President you will join a team of compliance and risk professionals from a diverse range of backgrounds and experience who collectively ensure that the Firm’s Compliance, Conduct & Operational Risk (CCOR) Framework is implemented and functions effectively across US Broker-Dealer entities. In this role as a CCOR Vice President, you will act as an independent second line of defense and challenge function, interacting closely with business, Legal, Audit, and other Risk Management and Compliance key stakeholders.

To be successful in this role, you must be a self-starter and will require the necessary knowledge and experience in Risk Management, regulatory or audit best practices relating to US Broker Dealer regulations, rules and laws. 

Job Responsibilities

• Coordinate periodic reporting to the legal entity boards of directors.
• Coordinate with colleagues in Legal and Compliance on industry developments and rulemaking and ensure industry developments are socialized appropriately in governance forums.
• Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements.
• Actively participate on complex projects, providing guidance, advice, and effective challenge.
• Coordinate and prepare the annual FINRA Compliance and Process Reports for the broker-dealer entities.
• Provide guidance and technical expertise that supports the design, implementation and oversight of the Compliance Program established to support a broker-dealer.
• Monitor and act upon regulatory developments relating to Compliance Risks and associated regulatory obligations.
• Perform Compliance Risk assessments and reporting to Senior Management and legal entity governance (e.g., review and challenge of process, controls and risk assessments and performing monitoring and testing activities).
• Proactively analyze compliance and operational risks to identify and make recommendations for process or control changes and system enhancements.
• Develop, maintain, and provide guidance on the applicability of broker-dealer policies and procedures.
• Partner with all three lines of defense to strengthen the compliance and operational risk environment of the firm using analytics and independent challenge(s).
• Assist in regulatory reviews, audits, exams and inquiries.
• Maintain FINRA Gateway reporting capabilities for the legal entities.

 

Required qualifications, capabilities, and skills

• Minimum bachelor’s degree with 3-5 years of experience supporting a US broker dealer or front office business within a US broker dealer.
• Excellent writing and analytical skills.  Adept in communicating clearly and across levels and functions within the organization. 
• Ability to multi-task, strategize and prioritize in a fast-paced environment.  Leverage subject matter expertise and data to make informed decisions.
• High proficiency in Microsoft Office Suite.
• Strong sense of accountability and ownership of responsibilities; diligent, and self-motivated.
• Intellectually curious, and comfortable challenging current practices.
• Ability to foster relationships at all levels within the coverage 

Preferred qualifications, capabilities, and skills

• Regulatory experience is a plus.