Corporate Compliance - Regional Compliance Manager - Vice President


: $185,380.00 - $185,380.00 /year *

Employment Type

: Full-Time


: Legal

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JPMorgan Chase & Co . (NYSE: JPM) is a leading global financial services firm with assets of more than $2.9 trillion, over 240,000 employees and operations in over 60 countries. It operates across four business segments including Asset & Wealth Management, Corporate and Investment Banking, Commercial Banking and Consumer and Community Banking. J.P. Morgan Asset & Wealth Management, is a global leader in investment and wealth management. Its clients include institutions, high-net-worth individuals and retail investors in every major market throughout the world. The division offers investment management across all major asset classes including equities, fixed income, alternatives, multi-asset and money market funds. For individual investors, the business also provides retirement products and services, brokerage and banking services including trusts and estates, loans, mortgages and deposits. Wealth Management, part of JPMorgan's Asset & Wealth Management division, provides an exceptional breadth and depth of wealth management solutions including investing, wealth structuring, capital advisory, philanthropy and banking. J.P. Morgan's wealth management solutions are provided through the Private Bank, J.P. Morgan Securities (JPMS) and Chase Wealth Management (CWM). JPMorgan Chase is seeking talented candidates for a Compliance Manager position within the Wealth Management Compliance team supporting the J.P. Morgan Securities business. Compliance professionals with both operational and regulatory knowledge and experience in areas related to providing wealth management brokerage and investment advisory services to clients will be expected to strategically partner with the business to ensure that our practices, controls, products and services are in compliance with both the letter and spirit of all applicable laws and regulations. Candidates will be expected to liaise with business management, Legal, Risk, Controls Management and Audit teams to provide ongoing compliance advice on regulatory matters and compliance risk for both brokerage and RIA services. A strong knowledge of product categories, and associated sales practice considerations, in which Wealth Management conducts business, including mutual funds, equities, fixed-income, SMAs, ETFs, hedge funds, private equity, and structured products are also critically important to the role. Candidates will be expected to identify compliance-related risks and measure the sufficiency of controls while providing advice on a routine basis to the Wealth Management business. Responsibilities: Provide regulatory advice and support to supervisors and registered representatives in branch offices for the Private Bank and JPMS. Strong knowledge of FINRA and SEC rules and regulations is imperative. Effectively partnering with business partners, legal, risk and operational partners to understand operational and regulatory risks in a complex environment. Proactively evaluating controls maintained by a dual broker-dealer and RIA and executing on opportunities for enhancements. Advise the business and provide compliance support for new fund and product launches. Keep abreast of industry trends and anticipate areas of focus and attention of regulators. Qualifications: 10-15 years previous experience and or knowledge of general retail brokerage and investment advisory compliance Series 7, 24, 63/66 preferred A bachelor's degree, required A master's degree in business or a law degree would be a plus Strong knowledge of wealth management investment products and services, and related policies, procedures and control processes Extensive knowledge of regulatory requirements and operations supporting broker-dealer and investment advisers Excellent interpersonal, presentation and communication skills; ability to liaise with all levels of management Proven track record in building good working relationships Strong attention to detail and analytical skills Pro-active, motivated and enthusiastic Ability to work in a team environment Excellent written and oral communication skills Good knowledge of Microsoft Office products including Excel, Access, Word, PowerPoint.
Associated topics: attorney, corporate attorney, court, courtroom, internal, lawyer, legal, legal department, llp, market * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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