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 Director within the Compliance, Conduct and Operational Risk (CCOR) organization, you will be the global Compliance Lead for one of the largest Lines of Business (LOB) in Asset Management. Your responsibilities will include executing core practices such as Governance and Oversight, Regulatory Management, Policies and Procedures, Training and Awareness, Monitoring and Testing, Issue Management, Risk Assessment and Reporting, and Risk Control Self-Assessment (RCSA). You will provide compliance coverage across various areas and build effective partnerships with Line of Business (LOB) and global/regional Compliance teams, including Internal Audit, Operational Risk, and other Control functions. An additional key function of your role will include showcasing expertise in Compliance with particular emphasis on Equities as the asset class and your understanding of regulatory and/or audit best practices.
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In this high-visibility role, you will have significant interaction across the firm's investment, legal, risk, regulatory functions and need to be a proactive, solutions-oriented compliance leader possessing a strong understanding of global asset management regulations and best practices.
Job Responsibilities
- Lead compliance oversight for JPMAM's Global Equities business, ensuring adherence to SEC, Erisa, Reg 9, FCA, and other relevant regulatory requirements.
- Identify, assess, and mitigate compliance risks related to equity investments, trading practices, research, and portfolio management.
- Develop and enhance policies, procedures, and controls to ensure compliance with global regulatory requirements; manage the annual review of compliance policy manuals for US registered investment advisers and CCO annual report.
- Act as a key liaison with regulators, internal auditors, and external examiners, managing regulatory exams, inquiries, and remediation efforts.
- Provide compliance guidance to portfolio managers, traders, and research analysts on regulatory matters, including market abuse, best execution, conflicts of interest, insider trading, proxy voting, use of expert networks, and soft dollar commissions.
- Investigate and disposition alerts escalated by the surveillance groups related to equities trading and investment activities, including electronic communications, and trade surveillance; develop & conduct monitoring,
- Develop and deliver training programs for investment professionals to reinforce a strong compliance culture within Global Equities.
- Partner with Legal, Risk, Operations, and other Compliance teams to ensure a coordinated approach to regulatory compliance.
- Identify practical uses of AI to enhance compliance program.
- Effectively communicate with all levels of personnel, including Senior Management, Investment professionals, controls, risk, legal and compliance.
- Lead the Global Equities Compliance Program by coordinating support and oversight for the Global Equities platform, in collaboration with a comprehensive regional global compliance team.
Required qualifications, capabilities, and skills
- Bachelor's degree required
- 12+ years of experience in asset management compliance
- Strong knowledge of SEC, NFA, CFTC, Reg 9, Erisa and an awareness of FCA and other global asset management regulations.
- Experience with equities trading compliance, including best execution, trade surveillance, and market abuse regulations.
- Proven ability to manage regulatory interactions, audits, and compliance testing programs.
- Strong leadership and stakeholder management skills, with experience influencing senior investment professionals.
- Ability to analyze complex regulatory requirements and translate them into practical business solutions.
- Excellent communication skills, with the ability to present compliance matters to senior management and regulators.
Preferred qualifications, capabilities, and skills
- JD, MBA, CPA, or CFA a plus.
- Equities experience preferred.
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.