Compliance Risk Management Lead - Vice President

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 expert judgment 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 Vice President within the Risk Management and Compliance organization, you will assist in the development and maintenance of a strong compliance culture by working closely with the business, Legal, Risk, and Audit functions to provide compliance oversight of the business and expertise on regulatory compliance matters.

Job Responsibilities

• Partner with the line of business, Risk, Audit, Legal, and Control partners to monitor, implement, and test that sound compliance programs are in place.
• Provide compliance advice, guidance, and regulatory support to the J.P. Morgan Wealth Management broker-dealer (J.P. Morgan Securities, LLC) offering.
• Conduct reviews and analysis of field activities to confirm adherence to applicable policies, procedures, and regulatory requirements; identify potential risks or control gaps and recommend corrective actions.
• Lead specific projects to enhance the J.P. Morgan Wealth Management Compliance program and execute deliverables through completion.
• Evaluate the effectiveness of existing metrics; enhance or design new metrics to identify trends, patterns, and potential areas of concern.
• Advise the line of business on the design and implementation of action plans to address identified compliance and/or control gaps.
• Establish active partnerships with stakeholders to ensure effective communication, scheduling, and prioritization of compliance deliverables.
• Serve as a subject matter expert on requirements, expectations, and best practices for the Retail Non-Deposit Investment Products (RNDIP) program, supporting a consistent and cohesive approach across the consumer bank/broker-dealer.

Required qualifications, capabilities and skills

• 5+ years of experience in broker-dealer compliance.
• Knowledge of, or a demonstrated willingness to obtain, a working knowledge of regulations impacting broker-dealers.
• Proficiency in Microsoft Excel and PowerPoint, including experience creating senior management reporting and metrics; ability to perform data mining and analysis.
• Strong analytical, research, and problem-solving skills, with the ability to analyze large data sets and draw accurate conclusions.
• Strong knowledge of mutual funds, annuities, equities, fixed income, and investment advisory products.
• Excellent written and verbal communication skills; strong knowledge of FINRA and SEC regulatory requirements.

Preferred qualifications, capabilities and skills

• FINRA Series 7 and 24 preferred.
• Series 8 or 9/10 a plus.
• Some knowledge of consumer banking regulations is a plus.
• Bachelor's degree preferred.

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.