Job Description
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 supporting the J.P. Morgan Wealth Management's Solutions Compliance Group, you will need to be an experienced compliance professional where you will be part of an innovative and talented team supporting the Global Private Bank's Solutions business.
Compliance professionals with product, operational and regulatory knowledge with investment management programs will be expected to strategically partner with the business and other control functions to ensure that practices, processes, controls, products and services are in compliance with all applicable laws, rules and regulations.
You will be expected to liaise with Business Management, Legal, Risk, and Controls Management teams to provide ongoing compliance advice on regulatory matters and compliance risk for both existing and the development of new investment management products, platforms and services.
You will be responsible for related policies, risk assessments, monitoring and testing, critical challenge and monitoring new laws and regulations.
You will need to possess a strong knowledge of managed account product and services, including mutual funds, SMAs, ETFs, hedge funds, private equity, and structured products, and related offering materials, on-boarding processes and marketing regulations are also critically important to the role.
Additionally, you will be expected to identify compliance-related risks and measure the sufficiency of controls while providing on-going advice to line of business partners.
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 investment management products and services marketed through an investment adviser or bank, and related documentation, procedures and control processes
- Strong knowledge of regulatory requirements and operations supporting investment advisers 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.
About Us
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 wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more.
Additional details about total compensation and benefits will be provided during the hiring process.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success.
We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law.
We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs.
Visit our FAQs for more information about requesting an accommodation.
JPMorgan Chase is an Equal Opportunity Employer, including Disability / Veterans
About the Team
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing.
Our corporate teams are an essential part of our company, ensuring that we're setting our businesses, clients, customers and employees up for success.
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