DescriptionBring 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 Regional Compliance Lead in 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 Compliance broker-dealer (J.P. Morgan Securities, LLC) offering
- Take the lead on specific projects to enhance the J.P. Morgan Wealth Management Compliance and execute on those projects to completion
- Evaluate effectiveness of available metrics and enhance or design new metrics to identify trends, patterns, or potential areas of concern
- Provide Compliance advice to the line of business on the implementation of appropriate actions plans to address identified compliance and/or control gaps
- Establish active partnerships with stakeholders to ensure effective communication, scheduling, and prioritization of compliance deliverables
- Act as a subject matter expert on the requirements, expectations, and best practices for the Retail Non-Deposit Investment Products (RNDIP) program for the consumer bank/broker-dealer to facilitate a consistent and cohesive approach
Required qualifications, capabilities, and skills
- 5+ years previous experience in broker-dealer compliance
- Knowledge of, or a demonstrated willingness to, obtain a working knowledge of regulations impacting the broker-dealer
- Proficiency in Microsoft applications, including Excel and PowerPoint; experience in creating senior management information reporting, metrics, and ability to perform data mining and analysis
- Strong analytical, research and problem-solving skills, with the ability to analyze large amounts of data to draw accurate conclusions
- Strong knowledge of mutual funds, annuities, equities, fixed income, and investment advisory products
- Excellent writing and oral communication skills
- Strong knowledge of FINRA and SEC regulatory requirements
Preferred qualifications, capabilities, and skills
- Bachelor’s degree preferred
- FINRA Series 7, 24, 63, 65 or/66 preferred. Series 8 or 9/10 a plus
- Some knowledge of consumer banking regulations a plus