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Compliance Risk Management Lead

3 months ago

Brooklyn, New York, United States JPMorganChase Full time

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 Vice President of Asset Management Compliance within the Line of Business (LOB, you will concentrate on offering regulatory advice to the business and supervising their activities.
Job Responsibilities

  • Develop subject matter expertise in equities and fixed income securities and trading practices, as well as related rules & regulations; advise Product Groups (Portfolio Managers, Research Analysts and Traders) on trade-related issues; such matters include cross trading; trading with affiliates; Allocations/Reallocations, remediating trading errors, conflict matters, QIB, 144a, Reg 105 etc. and assessing regulatory changes and impact on business
  • Conduct Compliance Training and draft Compliance Bulletins to educate business counterparts
  • Handle trade alerts escalated from Trade Surveillance and reporting/escalation to the Market Conduct Violation Program
  • Handle Info Barrier Issues particular to Traders and PMs (such as contact with JPMS Syndicate; inter affiliate info barriers)
  • Manage Trade related policies and update related compliance desk procedures; respond to business of policy related matters; identify processes ripe for automation
  • Understand business procedures, provide guidance as to critical controls
  • Support CCO compliance program; drive testing and monitoring plans, complete risk assessment challenges, provide input to annual CCO report and assist with regulatory exams
  • Assist with support of the Investment Specialist Teams including Info barrier issues, client due diligence meetings, RFPs, Client Agreements.
  • Develop metrics and compliance updates to governance forums
  • Develop understanding as to product strategies, and vehicles with an eye to assessing and identifying risks associated with product and operation support; work to find technology solutions
  • Work closely with colleagues in CCOR to promote best practices and consistency across asset classes and regions; coordinate with functional team members in operational risk, legal, to provide effective challenge, guidance and advice; support and challenge governance framework

Required qualifications, capabilities, and skills:

  • 2+ years of risk management, compliance or financial services experience
  • Bachelor's Degree with concentrations in Math, Finance, Statistics, Economics
  • Strong written and verbal communication skills
  • Data mining skills, specifically: SAS, SQL, Python, Excel, Microsoft Office, and database software applications
  • Flexible and able to handle multiple tasks and a changing environment
  • Independent decision-making skills
  • Demonstrated experience in applying analytics to solve business problems efficiently and pragmatically through structured problem-solving approaches

Preferred qualifications, capabilities, and skills:

  • Prior financial services experience in compliance is preferred
  • MS, Law degree or MBA a plus

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.