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Corporate Compliance - Compliance Monitoring Manager - Vice President

Req #: 180009841_1
Location: New York, NY, US
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)

JP Morgan Chase

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at


Our Compliance Function

With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face.  The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.

Global Compliance & Regulatory Management plays a critical role in the successful execution of the firm's compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining an infrastructure to identify, measure and monitors compliance with applicable laws, regulations and rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance control environment.

The Compliance Monitoring Manager will report to the US Head of Wealth Management PB Credit, Mortgage and Deposits.

Position Description
This role resides within the Wealth Management (WM) Compliance Organization and will be responsible for the execution and oversight of a risk-based Compliance Monitoring program designed to assess the effectiveness of controls and/or processes implemented to mitigate certain risks applicable to the Private Bank Mortgage, Credit and Deposits business activities.

The professional who fills this position will work with Business, Legal, Risk, and Compliance management to identify and assess risks; develop and execute an appropriate compliance monitoring program; and, ensure that corrective action is fully implemented to address compliance testing, audit, regulator, and/or self-identified issues.

This position requires knowledge of FED, OCC and CFPB regulatory requirements and related principals for consumer deposit, credit and lending products and services.

This position requires knowledge and background in Compliance regulatory risks and controls, as well as familiarity with Compliance or Audit best practices. The successful candidate should be enthusiastic, confident, and have previous experience conducting regulatory examinations, compliance monitoring and/or testing, or internal audit.


Key responsibilities include:
This position will include the following management responsibilities across all 3 of WM’s consumer activities: (1) Credit; (2) Mortgage; and (3) Deposits:

• Oversee governance and effectiveness of the WM Compliance Monitoring Program, deploying standardized metrics and quality assurances processes including the design, and execution of the compliance monitoring to include research, plan and implement Compliance Monitoring, in accordance with the JPMC Global Compliance Monitoring Procedures, to assess compliance with applicable rules and regulations.
• Ensure Monitoring program is aligned with the Global AWM Compliance Practices strategy, involve regular interactions with stakeholders across all regions, in particular laisse with the WM and CCB Compliance Monitoring and Testing Teams to design and implement a testing program
• Coordinate with other LOBs, including CCB, on key regulatory issues, practices, policies and procedures
• As part of their responsibilities, he/she will provide expert advice on business control and compliance practice matters and will evaluate current methods and processes and implement improvements. This position requires interface with senior management across the business, compliance, operations, audit, legal, risk management, and technology. This position typically makes decisions independently but discusses unusual or complex issues with senior compliance management.
• Coordinate with other Core Compliance Team Members in preparing clear and organized monitoring work papers to document and support work performed and conclusions reached;
• Organize and prepare management information relating to monitoring reviews completed, issues identified, outstanding action plans and progress against plan;
• Be able to organize systems’ data and subsequently analyze it with the aim of drawing effective conclusions to support review work
• Help identify pragmatic solutions to identified issues and promote best practices, process improvements and efficiencies
• Managing and executing the Annual Compliance Risk Assessment


  • Excellent written and analytical skills required;

  • Strong organizational skills and willing to take ownership and responsibility of tasks;

  • Experienced compliance, risk or audit professional.

  • Master's degree, CRCM or JD preferred.

  • 5+ years of compliance, audit, risk or legal experience

  • 3-5 years of Business experience

    Required skills

  • Problem solving –demonstrate the ability to identify key issues, gather data to investigate those issues and develop actionable recommendations.  Given a strong fact base, candidate should be able to defend his/her point of view in the face of resistance
  • Analytical –highly analytical with experience in defining analytical approaches for projects and applying a range of analytical tools to synthesize insights and develop solutions.  Able to identify areas where statistical methods could improve performance
  • Project management – able to scope projects and create workable project plans.  He/she must plan ahead of resource requirements and should motivate and leverage available resources to execute on work plan. Candidate must be able to meet commitments and balance competing priorities
  • Teamwork and leadership – experience in simultaneously managing multiple projects and be flexible in his/her work style and be able to appropriately deploy, mentor, and develop junior talent within the team
  • Client management – demonstrate the ability to closely partner with senior and line managers and other stakeholders on projects
  • Communications – possess strong written and oral executive-level communications skills, including the ability to quickly adjust messages and style based on different audiences and agendas
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