Compliance Risk Management Lead - Vice President

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 Regional Compliance Lead in 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 Compliance broker-dealer (J.P. Morgan Securities, LLC) offering
• Take the lead on specific projects to enhance the J.P. Morgan Wealth Management Compliance and execute on those projects to completion
• Evaluate effectiveness of available metrics and enhance or design new metrics to identify trends, patterns, or potential areas of concern
• Provide Compliance advice to the line of business on the implementation of appropriate actions plans to address identified compliance and/or control gaps
• Establish active partnerships with stakeholders to ensure effective communication, scheduling, and prioritization of compliance deliverables
• Act as a subject matter expert on the requirements, expectations, and best practices for the Retail Non-Deposit Investment Products (RNDIP) program for the consumer bank/broker-dealer to facilitate a consistent and cohesive approach

Required qualifications, capabilities, and skills

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

Preferred qualifications, capabilities, and skills

• Bachelor's degree preferred
• FINRA Series 7, 24, 63, 65 or/66 preferred. Series 8 or 9/10 a plus
• Some knowledge of consumer banking regulations a plus

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. 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 & 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.