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Compliance - Conflicts of Interest Compliance – Vice President - London or New York

Req #: 180032530
Location: New York, NY, US
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)
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.
Role Description
We are recruiting for a high caliber VP level individual to join the Conflicts of Interest team to build out the cross line of business Compliance Program within the Corporate and Investment Bank (CIB). Key responsibilities include:
  • Providing coordination to the continued development of the COI Program to all regions in the CIB. Ensure consistency of regional efforts, sharing of issues and best practices.
  • Sourcing and providing input into the enhancement of the COI inventory, and the CIB COI Standards and Framework on behalf of compliance.
  • Providing advice on associated COI issues to the business and to compliance associates
  • To keep the business appraised of the Compliance related topics and regulatory changes in relation to COI across all regions.
  • Partnering with the Compliance Practices Team to develop, enhance and execute COI monitoring and testing plans globally.
  • Assisting in the development of training programs, creating content and conducting training as required.
  • Reviewing relevant Compliance Policies for adherence to applicable COI regulations.
  • Participating in the development of metrics, including thresholds. Analyzing trends relating to COI, ensuring escalation of issues.
  • Assessing regulatory, audit and compliance testing findings for COI relevance and adapting the program as required.
  • Preparing cross-regional communications of COI matters
  • Participating in addressing regulatory findings
  • Researching COI matters and staying abreast of related regulatory changes and applying knowledge to enhance the COI compliance program
  • Conducting ongoing risk assessments, including input into the further development of the COI risk assessment. Coordinating with all regions on approach in risk assessments, calibrate regionally and firm-wide, understand and support differences in assessments.
  • Producing Compliance COI presentations for Senior Management
Required Skills and Experience:
  • Proven track record in an advisory Compliance or risk management role.
  • Influential, ability to rally teams for consistency and meet goals across Lines of Business.
  • Experience and/ or knowledge of COI regulations.
  • Track record in interpreting regulatory requirements and relating them to operational requirements.
  • Adept in communicating complex messages succinctly, written and verbal.
  • Proven ability to multi task as well as assess and change priorities.
  • Independent thinker with strong analytical and problem solving skills.
  • Adept in working with people at all levels in the organization and with various backgrounds.
  • Evidence of strong interpersonal and influencing skills to be demonstrated through long-term partnerships with senior managers, wider business and other internal/external control functions.
  • Strong project management skills with focus on execution.
  • Advanced PowerPoint and Excel skills.
  • A high level of attention to detail.
  • 9+ years financial services industry experience.
  • Bachelors degree in Accounting / Finance, Economics, Legal or related discipline.
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