Compliance Risk Management Lead - Vice President

Job 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 the J.P. Morgan Wealth Management's Solutions Compliance Group, you will be a part of an innovative and talented team supporting the Global Private Bank's Solutions business. You will need to possess operational and regulatory knowledge and experience with managed account and retirement products and services and will be expected to strategically partner with the business and other control functions to ensure that practices, processes, and controls are in compliance with applicable laws, rules and regulations.
You will also be responsible for related policies, risk and control assessments, monitoring and testing, and training. Additionally, you will need a strong knowledge of investment products including mutual funds, SMAs, ETFs, and hedge funds, and a solid understanding of SEC, OCC, ERISA and DOL rules and regulations, which are critically important to the role. You will be expected to identify compliance-related risks and measure the sufficiency of controls while providing advice on a routine basis to line of business and control partners.
Job Responsibilities

• Lead compliance contact to the Outsourced Chief Investment Office (OCIO) team providing advice, guidance and oversight on a broad array of laws, rules and regulation. The OCIO team works with endowments, foundations and family offices around the globe advising on and implementing tailored endowment-style investment solutions.
• Support the Defined Contribution Consulting (DCC) team, which provides a full range of retirement services for plan sponsors, including ERISA on-platform (e.g., Defined Benefit) and business retirement solutions to small and mid-sized organizations.
• Advise the business on compliance issues relevant to new and existing defined contribution and managed account products and services
• Support Wealth Management's Portfolio Analysis Group (PAG), which calculates performance and generates related analytics for discretionary and brokerage investments
• Conduct on-going challenge to business risk and controls assessment, administer monitoring, maintain Compliance policies, provide marketing and training review, and help design testing plan for assigned areas of responsibility
• Proactively evaluate processes, controls and risks, and advise on implementing improvements
• Work with the business, control partners and Legal to review and assess the impact to the business of new related laws, regulations and exemptions
• Keep abreast of industry trends and anticipate areas of focus and attention of regulators

Required qualifications, capabilities and skills

• Attorney or compliance officer with a minimum 5 years of compliance/legal experience at a major law firm, regulator, fund or financial institution
• Strong knowledge of investment products and services marketed through a bank, registered investment adviser (RIA), or broker-dealer, and related SEC, OCC and FINRA rules and regulations
• A bachelor's degree
• Knowledge and experience in Compliance, as well as familiarity with monitoring, testing, and risk and control assessment
• Experience with prohibited transactions rules, their application to ERISA plans and to the financial services industry as service provider, fiduciary and/or investment manager
• Familiarity with DOL exemptions, including QPAM, and 408(b)(2) requirements.
• Excellent interpersonal, presentation, written and oral communication skills
• Ability to liaise with all levels of management and ability to work in a team environment
• Strong attention to detail and analytical skills
• Proficient in Microsoft Office including Excel, Word, and PowerPoint

About Us
JPMorgan Chase & Co., 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. For those in eligible roles, we offer discretionary incentive compensation which may be awarded in recognition of firm performance and 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 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.