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Corporate Compliance - Discretionary Investment Management - Wealth Management - Vice President

Req #: 180001389
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.
JPMorgan Chase is seeking talented candidates for a Compliance Manager position within the Wealth Management (WM) Compliance Department.  Compliance professionals with both operational and regulatory knowledge and experience in areas related to Bank discretionary investment management (DIM) programs will be expected to strategically partner with the business to ensure that our practices, controls, products and services are in compliance with both the letter and spirit of all applicable laws and regulations. Candidates will be expected to liaise with business management, Legal, Risk, Oversight & Control and Audit teams to provide ongoing compliance advice on regulatory matters and compliance risk for both existing and the development of new DIM products and services.  A strong knowledge of product categories in which DIM programs are invested, including mutual funds, SMAs, ETFs, hedge funds, private equity, and structured products, and portfolio performance reporting are also critically important to the role.  Candidates will be expected to identify compliance-related risks and measure the sufficiency of controls while providing advice on a routine basis to the line of business.
Key responsibilities include:
  • Effectively partnering with business partners, legal, risk and operational partners to understand operational and regulatory risks in a complex environment
  • Proactively evaluating controls maintained by a Bank investment manager and executing on opportunities for enhancements
  • Advise the business and provide compliance support for new fund and product launches  
  • Keep abreast of industry trends and anticipate areas of focus and attention of regulators
  • Compliance officer or attorney with a minimum 7 years of compliance/legal experience at a major law firm, regulator, fund or financial institution 
  • A bachelor's degree, required
  • A master's degree in business or a law degree would be a plus
  • Certified Fiduciary and Investment Risk Specialist certification a plus.
  • Strong knowledge of private banking investment products and services, and related policies, procedures and control processes
  • Extensive knowledge of regulatory requirements and operations supporting investment advisers with a particular focus on OCC banking regulations of advisor functions and 12 CFR 9 fiduciary rules.
  • Excellent interpersonal, presentation and communication skills; ability to liaise with all levels of management
  • Proven track record in building good working relationships  
  • Strong attention to detail and analytical skills
  • Pro-active, motivated and enthusiastic
  • Ability to work in a team environment
  • Excellent written and oral communication skills
  • Good knowledge of Microsoft Office products including Excel, Access, Word, PowerPoint.
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