Compliance Risk Management Lead - Vice President

JPMorgan Chase

  • New York City, NY
  • Permanent
  • Full-time
  • 13 days ago
Job Category: CCOR LOB/CF/Country CoverageJob 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 Compliance Risk Management Lead within our Compliance team, you will be tasked with overseeing our Global Rates and Fixed Income Financing businesses. Your role will involve daily interactions with senior-level business decision-makers and corporate functions in a dynamic, fast-paced environment.Job Responsibilities
  • Provide real-time advice and challenge to business management and staff on regulatory and compliance issues
  • Conduct “second line” monitoring of businesses
  • Assist in preparing responses to regulatory inquiries and examinations from the SEC, FINRA, OCC, CFTC and other regulators
  • Coordinate with other control groups, such as Business Controls and Operational Risk on initiatives including surveillance, testing, and audits
  • Coordinate with Compliance colleagues covering functions such as the Control Room regarding information barrier crossings, Personal Account Dealing, Licensing and Registrations, Global Financial Crimes, etc.
  • Participate in various projects, such as those relating to the challenge of “first line” risk assessments
  • Draft and implement compliance policies and procedures
  • Monitor regulatory developments, participate in industry groups, and assist in implementing programs to comply with new regulations
Required qualifications, capabilities and skills
  • Bachelor's degree, MBA or law degree, depending on work experience
  • 5+ years of relevant experience in financial services compliance
  • Knowledge of SEC, FINRA, OCC and CFTC rules relating to fixed income products, loans and derivatives
  • Strong interpersonal skills and excellent verbal and written communication skills
  • Ability to manage multiple initiatives simultaneously in a dynamic, fast-paced environment
  • Strong organizational and project management skills
Preferred qualifications, capabilities and skills
  • TRACE reporting
  • Swaps reporting
  • FINRA, SEC, OCC, CFTC regulations
  • US Treasury Auction regulations
  • Primary Dealer requirements
  • Government Sponsored Entities
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 for more information about requesting an accommodation.JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/VeteransAbout 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.

JPMorgan Chase