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 Vice President within the Compliance, Conduct & Operational Risk (CCOR) team supporting the J.P. Morgan Securities LLC and J.P. Morgan Prime Inc. broker dealers, you will be part of a diverse group of compliance and risk professionals responsible for ensuring the Firm's Compliance, Conduct & Operational Risk (CCOR) Framework is implemented and functions effectively across US Broker-Dealer entities. Your role will involve acting as an independent second line of defense where you will challenge the function, interact closely with the line of business (LOB), Legal, Audit, and other Risk Management and Compliance key stakeholders.
You be at the center of helping the firm understand, manage, and anticipate risks in a constantly changing environment. You will need to be a self-starter who possesses the required knowledge and experience in Risk Management as well as regulatory or audit best practices relating to US Broker Dealer regulations, rules, and laws.
CCOR provides independent oversight of the firm's compliance, conduct, and operational risks and maintains a strong control environment. The work covers areas such as review and challenge of LOB/Functions compliance and operation risk assessments, compliance training, understanding regulatory changes, creation of risk monitoring and testing activities to assess control effectiveness. 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. You will need to be a team player, solutions-oriented, and and have an appetite for learning as this role will have a primary focus covering the US Broker-Dealer(s) Compliance program.
Job Responsibilities

• Coordinate periodic reporting to the legal entity boards of directors as well as coordinate with colleagues in Legal and Compliance on industry developments and rulemaking and ensure industry developments are socialized appropriately in governance forums.
• Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements.
• Participate on complex projects, providing guidance, advice, and effective challenge.
• Coordinate and prepare the annual FINRA Compliance and Process Reports for the broker-dealer entities.
• Provide guidance and technical expertise that supports the design, implementation and oversight of the Compliance Program established to support a broker-dealer.
• Monitor and act upon regulatory developments relating to Compliance Risks and associated regulatory obligations.
• Perform Compliance Risk assessments and reporting to Senior Management and legal entity governance (e.g., review and challenge of process, controls and risk assessments and performing monitoring and testing activities).
• Analyze compliance and operational risks to identify and make recommendations for process or control changes and system enhancements.
• Develop, maintain, and provide guidance on the applicability of broker-dealer policies and procedures.
• Partner with all three lines of defense to strengthen the compliance and operational risk environment of the firm using analytics and independent challenge(s).
• Assist in regulatory reviews, audits, exams and inquiries; Maintain FINRA Gateway reporting capabilities for the legal entities.

Required qualifications, capabilities and skills

• Bachelor's degree required and 3+ years of experience supporting a US broker dealer or front office business within a US broker dealer.
• Excellent writing and analytical skills.
• Adept in communicating clearly and across levels and functions within the organization.
• Ability to multi-task, strategize and prioritize in a fast-paced environment. Leverage subject matter expertise and data to make informed decisions.
• High proficiency in Microsoft Office Suite.
• Strong sense of accountability and ownership of responsibilities; diligent, and self-motivated.
• Intellectually curious, and comfortable challenging current practices.
• Ability to foster relationships at all levels within the coverage

Preferred qualifications, capabilities and skills

• Regulatory experience is 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. 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.