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Corporate and Investment Bank - Compliance Operations - Vice President

Req #: 170117015_1
Location: Newark, DE, 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 $2.5 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


J.P. Morgan's Compliance Department is seeking a highly motivated individual to serve as a Compliance Officer for its North America Corporate and Investment Bank (CIB) Operations Compliance team. In this role, you will provide compliance guidance to and oversight of the Operations teams (back-and-middle-office) that provide horizontal support across the CIB, including both Securities and Banking businesses. You will also work closely with other lines of businesses and functional groups on matters related to operations support. In addition, you will partner with other Compliance and Legal teams on assessing and measuring compliance and related risks, training and monitoring of processes. The successful candidate will possess knowledge of regulatory requirements relating to investment bank Operations, including but not limited to specific requirements for broker-dealers, and have experience working in or supporting investment bank, bank and broker-dealer operations.


Specific focus areas will include Broker-Dealer Clearance and Settlement, Financial Operations including Financial Responsibility Regulations and Regulatory Reporting; and in partnership with Technology Compliance colleagues, Emerging Technology/FINTECH used or proposed to be used by Operations (blockchain, robotics, Cloud, etc.).

  • Assist in consulting the Operations organization on Compliance matters, including 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.
  • Work with back-office and middle-office personnel on the development, drafting, and maintenance of policies and procedures, including written supervisory procedures, and aid in the design of training and awareness programs, to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.
  • Assist in preparing the Annual Chief Compliance Officer Reports, presentations, and other materials.
  • Assess operations processes, systems and new initiatives to identify compliance risks and potential enhancements, and to identify potential opportunities for Compliance monitoring and testing.
  • Collaborate to gather information and review responses for regulatory examinations, audits, investigations, inquiries, and other information requests.
  • Identify and escalate issues through appropriate escalation channels, if needed, to help facilitate timely and effective resolution.
  • Interact regularly with colleagues in other regions on regulatory matters, cross border questions, and to help facilitate consistent application of corporate regulatory policies.
  • College degree required (BA/BS).
  • 5+ years relevant experience in investment bank or broker-dealer operations; or, in Compliance supporting operations; or with a banking or broker-dealer regulator.
  • Past experience building and maintaining key relationships across departments and functions, and encouraging a culture of engagement.
  • Some understanding of the technology and applications used in broker-dealer operations (ex. OMGEO, IMPACT, etc.) helpful but not required.
  • Proficient in Word, PowerPoint and Excel.

Other qualifications required:

  • Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business, Compliance and Legal partners.
  • Proven ability to communicate effectively at all levels both orally and in writing.
  • Robust understanding of securities and banking rules and regulations, and of regulatory expectations for a culture of compliance.
  • Proven ability to enhance or influence a control environment.
  • Experience in drafting policies and procedures (specific experience drafting supervisory procedures and compliance policies beneficial).
  • Capable of operating comfortably within a complex organizational structure.
  • Excellent presentation and problem solving skills.
  • Demonstrated ability to analyze work flows and processes.
  • 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.
  • Working knowledge of the Broker-Dealer Financial Responsibility Rules (SEC Rules 15c3-1 and 15c3-3) a major plus.

**Any candidate not meeting all the qualifications can be considered for a Sr Compliance Officer, Associate.


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