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Corporate Compliance - Global Head of Research Compliance - Managing Director

Req #: 170107951
Location: New York, NY, US
Job Category: Compliance
Potential Referral Amount: US Dollar (USD)
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.
Principal Responsibilities:
Corporate & Investment Banking (CIB) Compliance is seeking a highly motivated individual to head the Global Research Compliance team.   In this role you will lead the team providing advice to, and oversight of JPMorgan Global Research equities and debt research products and services.  Specific areas of focus include research independence, conflicts of interest, material non-public information, and reputational risk.   The role is based in New York and reports to the NAMR Corporate & Investment Banking CCO.  Specific activities include the following:
•             Advise the on how to meet regulatory obligations and assess the impact of proposed regulations through the evaluation of regulatory developments as well as implementation of required controls.
•             Create and maintain Compliance policies reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.
•             Design and deliver training to support compliance with applicable regulatory obligations, the firm’s compliance-related policies and procedures and industry best practices.
•             Develop Compliance metrics as needed.
•             Drive consistent escalation and reporting to applicable governance and control forums.
•             Determine annual Compliance Test plan including individual test scripts.
•             Serve as escalation point for potential issues including sufficiency of potential action plans.
•             Complete the Compliance Risk Assessment relative to the Global Research business and provide input where appropriate to highlight changes in the risk / control / regulatory environment.
•             Participate in Industry roundtable groups to discuss regulatory expectations and industry best practices.
•             Collaborate to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests.
•             Independently manage projects necessary to support initiatives both within the Compliance Department and across the firm globally.
•             12-15 years of relevant Compliance or relevant supervisory or control experience.
•             Strong knowledge of securities and banking regulations.
•             Experience in drafting compliance policies, procedures alerts and manuals.
•             Experience in developing and delivering topical, ad hoc and firm element training
•             Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners
•             Proven ability to communicate effectively at all levels both orally and in writing.
•             Capable of operating comfortably within a complex organizational structure.
•             Excellent business judgment and problem solving skills.
•             A self-starter with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments.
•             Work effectively both in a team environment and independently.
•             Manage complex tasks simultaneously in a deadline-intensive environment.
•             Highly organized, detail-oriented, and energetic individual.
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