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.
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
Skills Required
- 5+ years of experience in broker-dealer compliance.
- Knowledge of, or willingness to obtain, a working knowledge of regulations impacting broker-dealers.
- Proficiency in Microsoft Excel and PowerPoint, including senior management reporting and metrics; ability to perform data mining and analysis.
- Strong analytical, research, and problem-solving skills; 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.
- FINRA Series 7 and 24.
- Series 8 or 9/10.
- Some knowledge of consumer banking regulations.
- Bachelor's degree.
JPMorganChase Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about JPMorganChase and has not been reviewed or approved by JPMorganChase.
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Healthcare Strength — Medical, dental, vision, and mental-health coverage are broad, with wellness incentives, on-site or virtual care, and an EAP offering coaching and counseling. Plan materials emphasize accessible options, including multiple medical choices and tools to manage costs.
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Parental & Family Support — Paid parental leave extends up to 16 weeks for all parents, supplemented by paid Critical Caregiver Leave. Family resources include backup childcare via Bright Horizons, lactation support and milk-shipping, family-building assistance, and even a free five-month SNOO rental for newborns.
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Retirement Support — Retirement programs include a 401(k) with an annual company match and automatic pay credits for most employees, with a legacy pension available to earlier hires. An Employee Stock Purchase Plan at a 5% discount further supports long-term savings.
JPMorganChase Insights
What We Do
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $3.7 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small businesses, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world’s most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Technology fuels every aspect of our company and is at the heart of everything we do. With over 50,000 technologists globally and an annual tech spend of $12 billion, we are dedicated to improving the design, analytics, development, coding, testing and application programming that goes into creating high quality software and new products. Learn more about technology at our firm, explore resources from our Distinguished Engineers, AI & ML researchers, and other experts; access the latest episode of our TechTrends podcast, and more at www.jpmorgan.com/technology. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com. ©2023 JPMorgan Chase & Co. All rights reserved. JPMorgan Chase is an Equal Opportunity Employer, including Disability/Veterans.
Why Work With Us
Our technologists work on a diverse range of solutions that include strategic technology initiatives, big data, mobile, electronic payments, machine learning, cybersecurity, enterprise cloud development, and other state-of-the-art technologies.
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