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.
This position is a part of our J.P. Morgan Wealth Management's Solutions Compliance Team. We are seeking an experienced compliance professional to be part of an innovative and talented team supporting Wealth Management's Solutions business. In this position, the candidate will be expected to liaise with Business Management, Legal, Risk, Controls Management, and other compliance and business teams to provide ongoing compliance advice on regulatory matters and compliance risk regarding investment management products and services. You will also be responsible for related policies, risk assessments, monitoring and testing, training, critical challenge and monitoring new laws and regulations.
A strong knowledge of managed account product and services, including mutual funds, SMAs, ETFs, hedge funds, private equity, structured products, and related offering materials, on-boarding processes and marketing regulations are also critically important to the role. Candidates will be expected to identify compliance-related risks and measure the sufficiency of controls while providing advice on a routine basis to line of business and control partners.
Job responsibilities
- Compliance co-lead to the Managed Solutions and Solutions Product Development teams providing advice, guidance and oversight on a broad array of laws, regulations and Compliance policies related to investment management products and services
- Provide compliance support for operations, on-boarding and front office matters related to investment management product issues
- Advise the business on integrating compliance requirements into line of business procedures, controls and training
- Challenge the status quo by providing critical and analytical thinking and strong decision making capabilities to identify problems, propose creative solutions, and escalate as necessary
- Conduct on-going risk assessment, administer monitoring, maintain Compliance policies, provide marketing and training review, and help design testing plan for assigned areas of responsibility
- Develop management, stakeholder, and regulator presentations in order to communicate issues, recommendations, and status of initiatives
- Proactively evaluate processes, controls and risks, identify concerns and control issues, advise on implementing improvements and ensure stakeholders develop and implement appropriate corrective actions
- Work with the business, control partners and Legal to monitor and assess the impact to the business of new investment management related laws and regulations
- Keep abreast of industry trends and anticipate areas of focus and attention of regulators
Required qualifications, capabilities, and skills
- Attorney or compliance officer with 5+ years of compliance/legal experience at a major law firm, regulator, fund or financial institution
- A bachelor's degree
- Knowledge and experience in Compliance, as well as familiarity with monitoring, testing, controls and risk assessment
- Strong knowledge of investment management products and services marketed through a bank, registered investment adviser (RIA), or broker-dealer and related documentation, procedures and control processes
- Strong knowledge of regulatory requirements and operations supporting registered investment advisers (RIA) with a particular focus on OCC and SEC regulations
- Excellent interpersonal, presentation, written and oral communication skills
- Ability to liaise with all levels of management
- Strong attention to detail and analytical skills
- Ability to work both in a team environment and independently
- Proficient in the Microsoft suite of products, including Excel, Word, and PowerPoint
