Markets Regulatory Compliance - Vice President

Job Description

The Markets Office of Legal Obligations (OLO) function is part of the Markets Business Controls Management department within the 1st Line of Defense (1LOD). It is responsible for executing the regulatory traceability process, documenting legal obligations, and mapping them to control framework elements to ensure compliance with material laws and regulatory requirements.

Join our Markets Office of Legal Obligations team as a Vice President, where you'll manage the day-to-day operations of Markets OLO activities. Collaborate with global teams to ensure compliance with regulatory requirements and drive continual improvement in efficiency. Be part of a dynamic team that supports the Commercial & Investment Bank Markets businesses across all regions.

As a Vice President in the Markets OLO function, you will oversee the daily legal obligation mapping activities, manage offshore teams, and ensure compliance with regulatory requirements. Collaborate with key partners to address complex obligations and maintain an evergreen obligation mapping inventory. Your role involves driving efficiency improvements and representing Markets in governance meetings.

Job Responsibilities:

• Manage offshore teams' daily legal obligation mapping activities, setting targets and ensuring delivery.
• Act as the primary escalation point for offshore teams and review their output.
• Develop high-performing offshore teams through coaching, training, and performance goal setting.
• Address OLO Quality Assurance test findings and other BAU exception items.
• Collaborate with CRA, LRCM team members, and CIB Control Officers on complex obligations.
• Maintain processes to ensure the obligation mapping inventory remains current.
• Report on the function’s output to business executives through governance forums.
• Maintain SOPs, reference material, and documentation for obligation assessment and mapping.
• Drive continual improvement in efficiency, including adopting AI/ML tools.
• Represent Markets in governance meetings and ensure adequate representation in working groups.

Required Qualifications, Skills, and Capabilities:

• Vice President or equivalent position.
• Strong working knowledge of Markets products and services.
• Significant experience in Business Controls, Business Management, Operational Risk, Compliance, Legal, Audit, or similar function.
• Experience managing and developing sustainable teams and process-oriented activities.
• Proven influencing skills to drive key aspects of an operational business/function.
• High degree of independent decision-making, autonomy, and sound judgment.
• Strong project management skills and ability to instill structure, process, and accountability.
• Comfortable partnering closely with related functions at all levels.
• Detail-oriented with a disciplined approach to process while understanding the bigger picture.
• Strong organizational management skills, including issue and conflict resolution.
• Strong listening, negotiation, and written and verbal communication skills.

Preferred Qualifications, Skills, and Capabilities:

• Coverage of Markets Sales/Trading business(es) is desired.
• Knowledge of regulatory and control frameworks, including key regulators and regulations impacting Markets businesses.
• Comfortable with reading and interpreting legal text as a layperson.

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

J.P. Morgan’s Commercial & Investment Bank is a global leader across banking, markets, securities services and payments. Corporations, governments and institutions throughout the world entrust us with their business in more than 100 countries. The Commercial & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.