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Corporate Compliance - Regulatory Compliance Manager - Vice President - New York

Req #: 170082730
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.

The Wealth Management & Investment Solutions (WMIS) division of JPMorgan Chase & Co. is part of the Asset Management business segment. For over 160 years it has offered customized solutions and client service of the highest quality to solve the complex needs of wealthy individuals and their families around the world. With assets under management of $1.25 trillion, it is one of the largest asset and wealth managers in the world. WMIS serves various client types through three separate sub-lines of business: Ultra high net worth clients, high net worth clients; and institutional clients and high net worth retail clients through J.P. Morgan Securities.

Global Compliance & Regulatory Management plays a critical role in the successful execution of the firm's compliance mission. The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining program infrastructure that identifies measures and monitors compliance with applicable laws, regulations and rules that govern our business globally. Compliance teams work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance control environment.

Key Responsibilities

This position will include the following management responsibilities across all 3 of GWM’s consumer activities: (1) Credit; (2) Mortgage; and (3) Deposits:
• Executing the end-to-end process for US GWM Private Bank regulatory engagements, including reviewing examination requests, preparing tracking documents, and collecting, reviewing, obtaining approval for, and delivering regulatory submissions.
• Preparing WM PB LOB personnel for regulatory interactions, including examinations, and leading meetings involving WM PB LOB personnel and regulators.
• Identifying, escalating, and developing solutions for potential regulatory risks.
• Completing periodic and other reporting timely and accurately.
• Monitor and Advise on Regulation and Enforcement Developments relevant to the Business;
• Coordinate with Corporate and cross line of business exam management teams.
• Building and maintaining excellent relationships with internal partners and colleagues.

The will be responsible for the execution and oversight regulatory interactions. Accordingly, candidates for this role should be highly-motivated, independent self-starters with exceptional judgment and strong analytical, advisory, client service, communication, management, and project skills. Previous experience managing regulatory interactions as well as knowledge of FED, OCC and CFPB regulatory requirements and related principals for consumer deposit, credit and lending products and services.


The ideal candidate will have a 4-6 years experience at a large financial institution performing legal, compliance, or other duties such as risk management and/or project management. 

  • Experience in the financial services industry preferred, but not mandatory.
  • Consumer compliance experience preferred, but not mandatory.
  • J.D. preferred, but not mandatory.
  • B.A. or similar degree from a top-tier institution
  • Analytical skills – the candidate must be highly analytical with experience in collecting, analyzing, and synthesizing information on various subjects.
  • Project management skills – the candidate must be able to manage multiple workstreams involving multiple partners and groups.
  • Communications skills – the candidate must possess excellent written and oral executive-level communications skills.
  • Client management skills – the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory engagements. 
  • Teamwork skills – the candidate must be flexible in his/her work style and be able to work appropriately with stakeholders and colleagues at all levels
  • Problem solving skills – the candidate must demonstrate the ability to identify key issues, obtain appropriate information for further analysis, and develop actionable recommendations.
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