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Legal - Legal Specialist Officer - Chase Wealth Management - AVP

Req #: 180018392_1
Location: New York, NY, US
Job Category: Legal
Potential Referral Amount: 0 US Dollar (USD)

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and 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


The Legal Department of JPMorgan Chase & Co is responsible for the provision of legal services to the Corporation and is organized by practice groups that generally align with the Corporation’s lines of business and corporate staff areas.  This structure encourages legal teams and businesses and staff areas to discuss legal, regulatory and business developments effectively and in a timely manner.

CWM is Chase’s retail broker-dealer business, offering brokerage accounts, investment advisory accounts and annuities to Chase customers at Chase bank branches through CWM Financial Advisors and Private Client Advisors. You will be a member of the CWM Legal team, supervised by CWM lawyers, and will be responsible for:

  • Reviewing account documentation, including powers of attorney, trust agreements, entity documents (e.g. corporate resolutions, by-laws, partnership agreements), court orders, guardianship documents, complex beneficiary changes, estate documentation (e.g., death certificates, wills), and retirement account documents
  • Completing and assisting with CWM Legal projects
  • Updating agreements/disclosures, including reviewing legal requirements for new provisions
  • Education and training of operations personnel to handle routine legal matters themselves
  • Keeping up on state laws that impact brokerage operations
  • Providing legal input on procedural changes
  • Consulting as necessary with the CWM Legal team lawyers on legal issues facing CWM Operations and CWM Advisors

  • At least 5 years’ experience at a law firm and/or in-house legal department at a large bank or other financial services company
  • Experience in the investment management and securities brokerage industries and/or experience with powers of attorney, trust agreements, guardianships, and estate planning  
  • The ability to prioritize work, manage a large number of issues at one time, and interact with CWM Legal team lawyers, CWM Operations, and CWM Advisors
  • The ability to exercise strong judgment both in providing legal assistance to CWM Operations and knowing when to consult with a CWM Legal team lawyer
  • Excellent oral and written communication skills
  • Demonstrated leadership, problem solving and project management skills, judgment and character
  • Ability to work with a diverse team of legal and other professionals
  •   All candidates for roles in the Legal department must successfully complete a conflicts of interest clearance review prior to commencement of employment. 

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