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Corporate Compliance - Bank Fiduciary Compliance Manager - Vice President - New York

Req #: 170029115
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.
WM Compliance is seeking an individual to fill a position within the Compliance banking team supporting fiduciary products, accounts and services provided through U.S. banking entities.  
The Bank Fiduciary Compliance Manager will provide direct support to a managing director and Head of WM Bank Fiduciary Compliance, and responsibilities will include the following: 
  • Acting as a subject matter expert with respect to bank fiduciary rules and regulations, particularly 12 CFR 9 (Part 9). 
  • Managing all aspects of WM Compliance‚Äôs participation in corporate fiduciary programs with respect to WM bank fiduciary activity.
  • Advising the business on compliance issues relevant to new and existing banking regulations for trust and other fiduciary products and services
  • Participating in regulatory exams from the OCC, Fed, and other state and federal regulators impacting supported businesses
  • Helping to develop Compliance policies on Bank Fiduciary products and services
  • Integrating compliance requirements into line of business policies, procedures, controls and training, and ensuring consistency and best practices across jurisdictions where applicable. 
  • Researching and responding to compliance queries
  • Assisting in the identification and development of training topics, and participating in training implementation/delivery
  • Assisting with core Compliance functions including, risk assessments, compliance testing and monitoring and projects driven by corporate compliance teams relative to the Bank Fiduciary space.
  • Fluency in 12 CFR 9, and its application to national bank associations acting in a fiduciary capacity.
  • Knowledge of other laws, regulations, rules and regulatory guidance around fiduciary accounts managed, administered or otherwise distributed through a national bank.
  • 5 or more years of legal, risk, audit or regulatory compliance experience within a financial services firm setting with focus on bank-side fiduciary account support
  • Exposure to OCC, FRB, SEC, FINRA, DOL or other financial services regulatory examinations experience is strongly preferred.
  • 4 year Bachelor Degree.
  • Certified Fiduciary and Investment Risk Specialist (CFIRS) accreditation is desirable.
  • Proven track record in building good working relationships.
  • Proven team player with strong interpersonal skills.    
  • Exposure to the WM operating model within JPMorgan is desirable.
  • Ability to work independently as well as in a team environment.
  • An understanding of when issues require escalation.
  • Strong verbal, written and interpersonal skills and the ability to liaise with all levels of management are essential.  Position will interact with many different constituencies and requires professional presentation, communication skills, and attention to detail.
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