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 Compliance Conduct and Operational Risk (CCOR), you will act as an independent second line of defense and challenge function in the equities compliance team, focusing on the Electronic Sales and Trading businesses within the Corporate & Investment Bank line of business (LOB). You will be required to closely interact with the Line of Business and global/regional and functional CCOR teams and key stakeholders, including Legal, Business Control Managers, Technology, Internal Audit, Finance & Business Management and other Control functions. Additionally, you will need to have experience in Compliance, as well as familiarity with regulatory best practices.
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Job Responsibilities
- Identify compliance and conduct risks inherent within the equities business related to electronic trading, including the firms alternative trading systems, algorithmic and smart order routing trading, indications of interest, market making, and 15c3-5.
- Act as independent second line of defense and challenge function to equities markets and electronic sales and trading businesses, raising issues for the front office to remediate through action plans and partnering with the front office process owners in control design, control evaluation, and issue management of compliance and conduct risks.
- Collaborate with legal, regulatory engagement, the business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests.
- Collaborate with the business, Testing Center of Excellence, and other lines of businesses for the annual 15c3-5 certification.
- Build and maintaining strong client relationships with front office personnel, business management, control managers, legal, technology and business aligned Corporate Functions.
- Work proactively with the front office to maintain, enhance and develop an effective control environment and supervisory program.
- Manage projects independently necessary to support initiatives both within the CCOR and across the firm globally.
- Draft and maintain Compliance policies, procedures and bulletins reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.
- Design and deliver training to support compliance with applicable regulatory obligations, the firm's compliance-related policies and procedures and industry best practices.
- Assist the team in identifying and escalating issues through formal escalation channels and facilitating timely and effective resolutions.
- Interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, compliance risk assessments, project management and formulating consistent approaches on corporate regulatory policies.
Required qualifications, capabilities, and skills
- 7+ years experience within an investment bank, law firm or regulator covering electronic trading.
- Extensive knowledge of SRO and SEC rules and regulations relating to equities compliance (e.g. 15c3-5, Reg ATS, Reg NMS, Regulation SHO, CAT, Transaction Reporting, Best Execution), Sales and Trading.
- Ability to work both independently and as a core team member.
- Excellent research, analysis, written and interpersonal and communication skills.
- Detail-oriented; possess a high-level of attention to detail and quality for their work product.
- Bachelor's degree required.
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.