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Corporate & Investment Bank - Investment Banking Compliance - Vice President/ Executive Director

Req #: 170052497
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 assets of $2.5 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


J.P. Morgan's Compliance Department is seeking a highly motivated individual to serve as a Compliance Officer for its Investment Banking business. In this role you will provide compliance guidance and support to the Investment Banking teams, working closely with Capital Markets, Research and the Control Room Compliance teams. You will also partner with Legal and the Firm’s control functions to assess risk, create pragmatic solutions, and develop common standards and practices.



  • Provide day-to-day Compliance advisory services to the firm’s Investment Banking business regarding advisory, mergers and acquisitions, and capital markets transactions with a specific focus on material non-public information, conflicts of interest, and reputational risk.
  • Create and maintain policies and procedures reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.
  • Advise the business on how to meet regulatory obligations and assess the impact of proposed regulations through the evaluation of regulatory developments as well as implementation of required controls
  • Evaluate business processes, systems and new initiatives to ensure compliance with regulatory requirements.
  • Perform Compliance Risk Assessments and review results with senior management.
  • Design and deliver training to support compliance with applicable regulatory obligations, the firm’s compliance-related policies and procedures and industry best practices.
  • Compile and provide reporting, metrics and information management for Compliance, Business Management and Oversight & Control functions and committees.
  • Participate in Investment Banking Industry roundtable groups to discuss regulatory expectations and industry best practices.
  • Collaborate with business and other control functions to gather information and review responses to regulatory examinations, audits, compliance testing, investigations, inquiries, and other information requests.
  • Independently manage projects necessary to support initiatives both within the Compliance Department and across the firm globally.
  • Advise the business on having an effective and sustainable supervisory and control framework.
  • Perform LOB compliance monitoring and testing routines as deemed appropriate.
  • Identify and escalate issues through formal escalation channels, and facilitating timely and effective resolution Interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies.
  • Interact regularly with Compliance in other lines of business, global/horizontal functions and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies 
  • College degree required (BA/BS).
  • Law degree or master's degree a plus, but not required.
  • Four to ten years of relevant experience with an investment bank, law firm or regulator.
  • Strong working understanding of rules, regulations, and industry practices pertaining to information barriers and the investment banking business.
  • Past experience building and maintaining key relationships across departments and functions, and encouraging a culture of engagement.
  • Strong network of regulatory and industry contracts.
  • Experience in drafting compliance policies, procedures, guidance and manuals. Experience in developing and delivering topical, ad hoc and firm element training
  • Comprehensive understanding of the Securities Act of 1933, the Securities Exchange Act of 1934 in particular Sections 10(b) and 15(g) of the Exchange Act and Rule 10b-5 thereunder as they relate to broker-dealer practices.
  • Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners
  • Proven ability to communicate effectively at all levels both orally and in writing.
  • Capable of operating comfortably within a complex organizational structure.
  • Excellent business judgment and problem solving skills.
  • A self-starter with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments.
  • Work effectively both in a team environment and independently.
  • Manage complex tasks simultaneously in a deadline-intensive environment.
  • Highly organized, detail-oriented, and energetic individual.
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