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Corporate Compliance - Regulatory Exam Compliance - Executive Director

Req #: 170091930
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.

J.P. Morgan Asset Management is a leading asset manager for institutions, individuals and financial intermediaries, worldwide.  Our investment professionals are located around the world providing strategies that span the full spectrum of asset classes including equity, fixed income, cash liquidity, currency, real estate, infrastructure, hedge funds and private equity. These strategies are provided to clients through Private Funds, Mutual Funds or separate account mandates.


The role of the Compliance Director will be located in the Investment Management ("IM") Institutional Team and will be based in NY.  


The Investment Management team is seeking a Compliance Director to assist in managing our regulatory relationships and examinations. This position offers a high degree of visibility and will interact directly with regulators and senior management team members.


Responsibilities include:

  • Manage and participate in regulatory exams and regulatory inquires, liaise with business partners in providing requested information; regulators include the SEC, OCC, the Federal Reserve Bank, and NFA
  • Ensure coordination by assigned examination teams of meetings, logistics, and all deliverables with the business, control teams, legal and compliance stakeholders.
  • Arrange meetings with regulators and compliance and/or business management; maintain records and reports of meetings, ensure proper follow - up as necessary.
  • Ensure information from regulatory meetings is disseminated appropriately to the business
  • Liaising with the business on relevant compliance issues; understand and give guidance to the business on policies and regulator expectations
  •  Researching and responding to compliance queries; prepare responses to client inquires related to exams and to general compliance program matters  
  • Working closely with business and support groups to develop detailed action plans that address all issues in the final report for the examination
  • Engage in remediation of open exam issues as needed, and keep the appropriate business groups and senior management up to date on the progress.
  •  Ensure that all issues or comments from regulators are addressed and incorporated into policies, procedures, and training as necessary and shared across LoBs and regions as necessary
  • Partner with Risk Assessment team to ensure any issues identified are appropriately reflected in Risk Assessments; assist with risk assessments
  • Maintain active dialogue and endeavor to enhance Investment Management’s relationship with its regulators
  • Keep abreast of regulatory environment and hot topics with regulators and ensure Compliance program adequately addresses those issues
  • Bachelor’s degree required.
  • Extensive fiduciary/conflicts of interest/ERISA experience required (10 plus years).
  • Strong overall knowledge of federal securities laws, including the Investment Company Act of 1940 and Investment Advisers Act of 1940 and OCC Reg 9 matters.
  • Superior ability to manage multiple tasks simultaneously.
  • Strong quantitative, critical thinking and analytical skills; confidence with complex investment concepts.
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