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Corporate Compliance - Alternatives Compliance - Private Credit - Executive Director

Req #: 170067441
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 http://www.jpmorganchase.com/.

 

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.



Responsibilities:

  • Support newly created private credit team within the Alternatives platform within JPM Asset Management;
  • Senior compliance lead supporting the business on all regulatory and internal policy matters;
  •   Draft and maintain compliance policies and procedures necessary to support global private credit activities;
  • Fully conversant with the Investment Advisers Act of 1940, the Securities Act of 1933, Securities and Exchange Act of 1934 and associated rules and regulations thereunder;
  •  Establish and maintain information barrier policies relevant to underlying business activities;
  •  Actively participate in all significant governance forums within the business;
  •   Primary interface on all internal and external audits and regulatory inquiries and examinations;
  • Active participation in client and operational due diligence meetings;
  •   Ongoing participation in Investment Committee meetings and other material committee meetings within the business;
  • Establish and maintain compliance program meeting the requirements under SEC Rule 206(4)-7, OCC and FRB;
  •   Primary Compliance interface with all internal control groups within JPM;
  •   Liaise with Corporate Compliance and Practices teams to facilitate compliance monitoring, testing, surveillance and other significant compliance matters;
  • Coordination of appropriate communications with the Global Conflicts office;
  • Review of significant client disclosure and offering documents;
  •   Establish and maintain all required regulatory reporting


Qualifications:

  • Ten years + of experience in asset management industry with specific expertise in private credit and alternatives products;
  • Strong leadership and communication skills;
  • Strong quantitative and analytic skills with deep product knowledge experience and expertise;
  • Ability to thrive in a complex and layered regulatory environment;
  • Team player who is able to interact nimbly with senior executives and personnel at all levels;
  •  Strong policy drafting skills;
  •  SME for Alts Private Credit business
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