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Corporate Compliance - Asset Management Americas Compliance – Head of Funds Special Initiatives- Managing Director

Req #: 170095919
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/.
 
Principal Responsibilities:
 
We are looking to recruit a dynamic, industry leading Asset Management (AM) Compliance senior leader to lead our Americas Compliance, Funds Special Initiatives. The ideal candidate will have a deep knowledge of US corporate, investment advisory, investment company, private funds, broker dealer and securities laws and regulations experience. This position reports to the AM CCO.
 
The individual will proactively seek out, research and follow up emerging risks in our US funds business and potentially more broadly.  They will work with the Global AM Head of Compliance (AM CCO), the Head of AM Americas Compliance (NAMR CCO), the Head of AM Alternatives Compliance (Highbridge/Alts CCO) and the wider US and global Compliance team. They will communicate with functional and business colleagues across a large, complex and expanding business. 
 
The role requires strong knowledge of the funds industry and regulation, an ability to track and analyze emerging regulatory risks and analyze areas of business change in order to identify areas of potential regulatory risk.  The successful candidate will, in consultation with the AM CCO and the AM Compliance leads, set up and drive initiatives to consider the implications of risks identified and any follow up program of work, providing feedback to the Compliance team and the business.  It involves sharing expertise with the wider US Compliance team and supporting particularly our advisory roles.
  • Strong academic background, professional qualification or regulatory background e.g. lawyer, accountant and/or ex regulator
  • Expert in registered funds law and regulation and other funds and asset management products and services
  • Long experience in asset management and expertise in law, regulation and practice relating to registered funds and asset management
  • Proven communication skills both with the business, Compliance, Risk, Legal and other controls stakeholders
  • Possess technical and soft skills to advise colleagues and the business on key areas of regulatory risk
  • Ability to analyze, provide clear advice, apply judgment and take decisions
  • Ability to create sustainable solutions, including engagement with other teams such as technology where relevant
  • Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners
  • Capable of operating comfortably within a complex and global organizational structure
  • A self-starter with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments
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