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Corporate Compliance - Corporate & Investment Bank (CIB) Compliance - CIB Compliance Risk Assessment Reporting - Vice President

Req #: 170107643
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 $2.6 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
The Corporate & Investment Bank (CIB) Compliance organization of JPMorgan Chase & Co is seeking an experienced compliance professional to join the firm to perform risk assessment across CIB lines of business.  The lines of business include, but are not limited to, Investment Banking, Investor Services, Commodities, Equities, and Fixed Income, under which a full range of financial products and services are offered.  Among the activities subject to risk assessment are securities underwriting, advisory, research, institutional sales and trading, prime brokerage, securities lending and others.
CIB Compliance Risk Assessment Reporting (VP) - The successful candidate will be a lead compliance risk assessment officer, helping to drive all initiatives and execution associated with the CIB’s risk assessment program within Compliance.  Activities include, but are not limited to, adhering to the guidelines of the program and ensuring that each business area has appropriately identified and assessed key compliance risks, as well as related controls.  CRA Officers work closely with CIB Compliance Advisory, Corporate Program leads, Regional CRA teams, other line of business CRA leads as well as with all other Practices who support the CIB lines of business.
  • Manage Global as well as local North America compliance risk assessment processes for select lines of business within CIB to identify, assess and appropriately document compliance risks from securities, futures and options, commodities, banking and other key regulations
  • Conduct a monthly assessment process to update risk assessments across CIB lines of business to reflect regulatory and business changes, as well as the impact of audit, compliance testing, and regulatory exam results on risk assessments    
  • Work effectively with senior CIB Compliance Advisory and Core Compliance to assure risk assessments meet standards
  • Ensure that the risk assessment methodology remains consistent with global  risk assessment standards
  • Use global risk assessment systems and tools to track and resolve issues   
  • Identify and implement action plans where required, and tracking of plans to confirm complete remediation as needed
  • Coordinate with CIB Compliance Monitoring & Testing and Training & Awareness teams to ensure appropriate coverage of risk assessment results
  • Develope reports and metrics for senior CIB Compliance management and Core Compliance as required
  • Minimum 7-10 years of experience in Compliance or a Control function involving risk assessments in financial services
  • Very strong data mining and analytics skills required utilizing MS Office Suite – Excel, Access, Powerpoint
  • Experience with securities, futures and/or banking regulations preferred
  • Industry experience in risk management, risk assessment, and/or internal controls required
  • Excellent written and oral communication skills
  • Ability to help lead a global program and collaborate with others across the regions and other lines of business
  • Detail oriented, strong organizational and presentation skills
  • Demonstrated ability to manage and lead multiple projects simultaneously
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