Compliance - Risk Management Oversight Program Lead - Vice President

Job Description

Bring your Expertise to JPMorganChase. As part of Risk Management and Compliance, you are at the center of keeping JPMorganChase 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 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.

Job 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.

Required qualifications, capabilities, and skills:

• 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

Preferred qualifications, capabilities, and skills:

• Operational experience in the financial industry supporting asset management activities

• Experience supporting investment management risk oversight activities

   

About Us

JPMorganChase, 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. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of 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 & Co. 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.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.