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 a Compliance Risk Management Lead within the J.P. Morgan Wealth Management’s Solutions Compliance Group, you will be an integral part of an innovative and talented team supporting the Global Private Bank’s Solutions business.  Your role will require you to be an experienced compliance professional with product, operational, and regulatory knowledge in investment management programs.  You will be expected to strategically partner with the business and other control functions to ensure that practices, processes, controls, products, and services comply with all applicable laws, rules, and regulations. 

Your responsibilities will also include liaising with Business Management, Legal, Risk, and Controls Management teams to provide ongoing compliance advice on regulatory matters and compliance risk for both existing and new investment management products, platforms, and services. You will be in charge of related policies, risk assessments, monitoring and testing, critical challenge, and monitoring new laws and regulations. A strong knowledge of managed account products and services, including mutual funds, SMAs, ETFs, hedge funds, private equity, and structured products, and related offering materials, on-boarding processes, and marketing regulations will be critically important to your role.

Job Responsibilities

• Co-Lead the Managed Solutions, Managed Platforms and Solutions Product Development teams providing advice, guidance and oversight on a broad array of laws, rules and regulations related to investment management products and services
• Advise the business on integrating compliance requirements into line of business procedures, controls and training
• Conduct on-going challenge to business risk assessment, administer monitoring, maintain Compliance policies, provide marketing and training review, and help design testing plan for assigned areas of responsibility
• Evaluate processes, controls and risks, identify concerns and control issues, propose thoughtful solutions and help ensure stakeholders appropriately implement corrective actions
• Work with the business, control partners and Legal to monitor and assess the business impact of new investment management related laws and regulations, and enforcement actions
• Keep abreast of industry trends and anticipate areas of focus and attention of regulators

Required qualifications, capabilities, and skills

• Attorney or Compliance Officer with 5+ years of compliance/legal experience at a major law firm, regulator, fund or financial institution 
• A Bachelor’s degree
• Knowledge and experience in Compliance, as well as familiarity with monitoring, testing, and risk assessment
• Strong knowledge of managed account products and services marketed through a registered investment adviser (RIA) or bank, and related documentation, procedures and control processes
• Strong knowledge of regulatory requirements and operations supporting registered investment adviser (RIA) with a particular focus on SEC and OCC regulations
• Excellent interpersonal, presentation, written and oral communication skills
• Ability to liaise with all levels of management and work in a team environment
• Strong attention to detail and analytical skills
• Strong knowledge of Microsoft Office products including Teams, Excel, Word, PowerPoint. 

JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, we offer discretionary incentive compensation which may be awarded in recognition of firm performance and individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and welln