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Compliance Risk Management Lead - Vice President

JPMorgan Chase & Co.

JPMorgan Chase & Co.

New York, NY, USA
Posted on Tuesday, June 4, 2024

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 Line of Business (LOB) Asset Management Compliance Vice President, you will be focused on providing guidance to the business on regulatory matters, and overseeing their activities

Job Responsibilities:

  • Develop subject matter expertise in equities and fixed income securities and trading practices, as well as related rules & regulations; advise Product Groups (Portfolio Managers, Research Analysts and Traders) on trade-related issues;
    • such matters include cross trading; trading with affiliates; Allocations/Reallocations, remediating trading errors, conflict matters, QIB, 144a, Reg 105 etc.
    • assess regulatory changes and impact on business
  • Conduct Compliance Training and draft Compliance Bulletins to educate business counterparts
  • Handle trade alerts escalated from Trade Surveillance and reporting/escalation to the Market Conduct Violation Program
  • Handle Info Barrier Issues particular to Traders and PMs (such as contact with JPMS Syndicate; inter affiliate info barriers)
  • Management of Trade related policies and update related compliance desk procedures; respond to business of policy related matters; identify processes ripe for automation
  • Understand business procedures, provide guidance as to critical controls
  • Support CCO compliance program; drive testing and monitoring plans, complete risk assessment challenges, provide input to annual CCO report and assist with regulatory exams
  • Assist with support of the Investment Specialist Teams including Info barrier issues, client due diligence meetings, RFPs, Client Agreements.
  • Develop metrics and compliance updates to governance forums
  • Develop understanding as to product strategies, and vehicles with an eye to assessing and identifying risks associated with product and operation support; work to find technology solutions
  • Work closely with colleagues in CCOR to promote best practices and consistency across asset classes and regions; coordinate with functional team members in operational risk, legal, to provide effective challenge, guidance and advice; support and challenge governance framework

Required qualifications, capabilities, and skills:

  • 2+ years of risk management, compliance or financial services experience
  • Bachelor’s Degree with concentrations in Math, Finance, Statistics, Economics
  • Strong written and verbal communication skills
  • Data mining skills, specifically: SAS, SQL, Python, Excel, Microsoft Office, and database software applications
  • Flexible and able to handle multiple tasks and a changing environment
  • Independent decision-making skills
  • Demonstrated experience in applying analytics to solve business problems efficiently and pragmatically through structured problem-solving approaches

Preferred qualifications, capabilities, and skills:

  • Prior financial services experience in compliance is preferred
  • MS, Law degree or MBA a plus