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Wealth Management, Financial Products and Regulatory Attorney

4 months ago

Brooklyn, United States JPMorgan Chase Full time

Job Description
By joining the US Wealth Management Legal Department and supporting its associated functions, you will be a valued contributor, driving product development and providing valuable regulatory insight.
As a Wealth Management, Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth Management Legal team, you will provide critical analysis and discussion of wealth management-specific regulatory issues, ongoing support of investment products distribution issues, and the creation, review, and general support of relevant transactional and regulatory documents. You will provide direct advice and support to internal Wealth Management and Products Solutions clients, including Advisors, Sales Management, Operations, Risk, and Controls, as needed. You will work closely with colleagues on the US Wealth Management and Product Legal teams and collaborate with Compliance, Risk and Controls functions to ensure comprehensive and effective support.
The Legal Department at JPMorgan Chase & Co. manages legal and other risks, advises on products and services, interprets laws and regulations that impact the firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and legal professionals with a reputation as thought leaders who deliver best-in-class services. As trusted advisors, we help the firm's clients while also safeguarding the integrity of the firm. We are committed to a culture of inclusivity and belonging, where people can grow and succeed throughout their careers while working for a first-in-class financial institution doing cutting-edge work. If these values resonate with you, we would like to hear from you.
Job responsibilities

  • Serve as primary legal contact for guidance related to certain financial products, including investment advisory programs and brokerage products and their distribution.
  • Interpret existing, contemplated, and proposed laws, rules, and regulations, and advise on changes thereto.
  • Provide ongoing strategic advice and guidance on regulations related to wealth management to business partners, other legal teams and functional partners.
  • Working on special projects outside of normal responsibilities and ability to adapt as needed.


Required qualifications, capabilities, and skills

  • At least 5 years of legal practicing experience at a law firm, financial institution, government agency, regulator and/or self-regulatory organization with demonstrated financial services experience.
  • Experience in broker-dealer matters, including knowledge of federal and state securities laws and regulations, including FINRA rules.
  • Proficient in handling a large number of issues and competing priorities in a fast paced and rapidly evolving environment.
  • Ability to understand business needs and partner with key stakeholders to create solutions.
  • Excellent communication skills (verbal and written) with the ability to interact effectively and professionally at all levels.
  • All candidates for roles in the Legal department must successfully complete a conflicts of interest clearance review prior to commencement of employment.
  • Attorney must be licensed to practice law and a member in good standing in in the state/jurisdiction in which the position is based or otherwise in compliance with the in-house counsel registration rules of that state/jurisdiction.


All candidates for roles in the Legal department must be licensed to practice law in the country of employment and successfully complete a conflicts of interest clearance review prior to commencement of employment.
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.
With large, global operations, the Legal team tackles complex issues and helps shape the regulations that affect the businesses. The group is organized into practice groups that align with the lines of business and corporate staff areas, which encourages collaboration on legal, regulatory and business developments as they arise.