This team collaborates closely with senior stakeholders across Audit, Legal/Compliance, Risk, and Controls Management, and you will be responsible for driving the development, implementation, and monitoring of effective controls. The ideal candidate will have significant asset management industry experience, strong asset management marketing knowledge, and a proven ability to lead cross-functional initiatives in a fast-paced environment.
As a Vice President – U.S. Communications Controls Group within the U.S. Investment teams and the broader marketing organization, you will play a critical leadership role in supporting the U.S. Investment teams and the broader marketing organization by providing expert regulatory guidance and partnering with business leaders to ensure all marketing and communications activities meet the highest standards of regulatory compliance and internal control.
Job Responsibilities
- Serve as a subject matter expert on asset management marketing and sales regulations, including, but not limited to, FINRA, SEC, OCC, and DOL requirements.
- Lead the design, implementation, and ongoing enhancement of internal controls and monitoring processes for marketing and communications.
- Provide proactive regulatory guidance and support to business partners across multiple lines of business, ensuring alignment with firm policies and regulatory expectations.
- Build and maintain strong working relationships with Audit, Legal/Compliance, Risk, and Controls Management to ensure a coordinated approach to risk management.
- Evaluate business activities, guidelines, and procedures to assess compliance risk and recommend solutions that balance regulatory requirements with business objectives.
- Develop and deliver training and educational programs to ensure employees understand and adhere to marketing regulations and industry best practices.
- Respond to regulatory inquiries, audits, and examinations, and support the resolution of issues as they arise.
- Stay current on industry trends, regulatory developments, and internal standards to continuously improve the effectiveness of the CCG.
Required Qualifications, Capabilities, and Skills
- Bachelor’s degree required.
- Minimum of 8+ years of experience in the asset management industry, with a strong focus on marketing, communications, and regulatory compliance.
- Deep knowledge of U.S. asset management marketing regulations and industry best practices.
- Demonstrated leadership experience in a complex, matrixed organization.
- Exceptional communication skills, with the ability to influence and engage stakeholders at all levels.
- Strong analytical, critical-thinking, and problem-solving skills.
- High level of integrity, sound judgment, and commitment to professional ethics.
- Proven ability to manage multiple projects and priorities in a fast-paced environment.
- Excellent collaboration and teamwork skills, with a strategic mindset.
Preferred Qualifications, Capabilities, and Skills
- Series 7 and/or Series 24.
- Experience with asset management marketing regulation.
About Us
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
J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.
Skills Required
- Bachelor's degree
- 8+ years of asset management industry experience focused on marketing, communications, and regulatory compliance
- Deep knowledge of U.S. asset management marketing regulations and industry best practices
- Leadership experience in a complex, matrixed organization
- Exceptional communication and stakeholder-influencing skills
- Strong analytical, critical-thinking, and problem-solving skills
- High integrity, sound judgment, and commitment to professional ethics
- Ability to manage multiple projects and priorities in a fast-paced environment
- Excellent collaboration and teamwork skills with a strategic mindset
- Series 7 and/or Series 24
- Experience with asset management marketing regulation
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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