Compliance Risk Management Lead - Vice President

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 the Compliance, Conduct and Operational Risk (CCOR) organization, the role involves collaboration with various stakeholders, including the Line of Business (LOB), global and regional Compliance teams, Internal Audit, Operational Risk, Control, and other functions. The candidate should possess expertise in Compliance and a strong understanding of regulatory, audit, and related best practices. The responsibilities include supporting the Asset Management (AM) LOB Compliance in the Global Equities and Global Fixed Income compliance programs.

Job Responsibilities

• Work closely with CCOR subject matter experts in harmonizing policy and practices across regions
• Conduct targeted monitoring activities and identify processes that could be automated
• Support LOB Advisory Compliance Matters including, but not limited to:
  • Interact with LOB employees and other stakeholders to provide compliance advice and guidance on regulatory topics
  • Review and disposition trade alerts escalated from Trade Surveillance and reporting/escalation to the Market Conduct Violation Program
  • Assist in the completion of Compliance Risk Assessment matters, including challenges
  • Manage the expert networks process, including chaperoning calls
  • Develop and provide instructor-led compliance training
  • Make compliance presentations in client meetings
• Work collaboratively with global team members across LOBs and staff areas, including senior management; be both a leader and an active participant in various working groups
• Stay current and advise on regulatory updates (SEC and other) impacting the asset management business

Required qualifications, capabilities, and skills

• Bachelor's degree
• 8+ years of relevant industry experience in compliance, audit, risk management, or similar control-related function, including knowledge of, and experience with, the Investment Advisers Act of 1940
• Effective Communication Skills: Must possess excellent written and oral communications skills, including the ability to conduct training and group presentations
• Commitment to precision and adherence to disciplined processes is essential
• Collaborative and Adaptable Team Player: Must thrive in a dynamic, global team environment and embrace collaboration
• Demonstrates a passion for regulatory best practices and a desire to learn about investment concepts; able to work independently with good time management skills
• Must bring initiative, energy, intellectual curiosity, and a strong dedication to achieving results
• Must have strong interpersonal skills and be flexible in work style and be able to work appropriately with global stakeholders and colleagues at all levels

Preferred qualifications, capabilities, and skills

• Knowledge of, and experience with, additional regulations including ERISA, the Investment Company Act of 1940, and 12 CFR Part 9 preferred
• Experience using Python, AI, and other technology resources to design and implement compliance monitoring and testing
• MBA or professional certification (CFA, CPA, etc.) highly desirable
• Audit, Regulatory and/or Testing experience desired

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.

Client-provided location(s): New York, NY

Job ID: JPMorgan-210672555

Employment Type: FULL_TIME

Posted: 2025-10-04T19:07:20