JP Morgan Chase & Co.

Compliance Risk Management Lead - Vice President

JP Morgan Chase & Co. • $145K — $175K *
Columbus, OH 43230In-Person
Finance & Insurance
5 - 7 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 5+ years of broker-dealer compliance experience.
  • Willingness to learn regulations affecting broker-dealers.
  • Proficient in Microsoft Excel and PowerPoint for reporting and metrics.
  • Strong analytical skills with large data sets.
  • In-depth knowledge of investment products like mutual funds and annuities.
  • Excellent communication skills with an understanding of FINRA and SEC regulations.

Responsibilities

  • Partner with various teams to monitor and implement compliance programs.
  • Provide regulatory support to J.P. Morgan Wealth Management offerings.
  • Conduct reviews to ensure policy adherence and identify risks.
  • Lead projects to enhance the Wealth Management Compliance program.
  • Evaluate and enhance compliance metrics to identify risks.
  • Advise on action plans for compliance gaps.
  • Establish partnerships for effective communication on compliance deliverables.
  • Serve as an expert on Retail Non-Deposit Investment Products.

Benefits

  • Collaborative work environment with multiple departments.
  • Opportunities for professional development and compliance training.
  • Engagement in significant compliance projects influencing company culture.
  • Exposure to a wide range of regulatory practices and frameworks.
Full Job Description
JOB DESCRIPTION

As aCompliance Risk Management Lead Vice President within the Risk Management and Compliance organization, you will assist in the development and maintenance of a strong compliance culture by working closely with the business, Legal, Risk, and Audit functions to provide compliance oversight of the business and expertise on regulatory compliance matters.

Job Responsibilities

  • Partner with the line of business, Risk, Audit, Legal, and Control partners to monitor, implement, and test that sound compliance programs are in place.
  • Provide compliance advice, guidance, and regulatory support to the J.P. Morgan Wealth Management broker-dealer (J.P. Morgan Securities, LLC) offering.
  • Conduct reviews and analysis of field activities to confirm adherence to applicable policies, procedures, and regulatory requirements; identify potential risks or control gaps and recommend corrective actions.
  • Lead specific projects to enhance the J.P. Morgan Wealth Management Compliance program and execute deliverables through completion.
  • Evaluate the effectiveness of existing metrics; enhance or design new metrics to identify trends, patterns, and potential areas of concern.
  • Advise the line of business on the design and implementation of action plans to address identified compliance and/or control gaps.
  • Establish active partnerships with stakeholders to ensure effective communication, scheduling, and prioritization of compliance deliverables.
  • Serve as a subject matter expert on requirements, expectations, and best practices for the Retail Non-Deposit Investment Products (RNDIP) program, supporting a consistent and cohesive approach across the consumer bank/broker-dealer.


Required qualifications, capabilities and skills

  • 5+ years of experience in broker-dealer compliance.
  • Knowledge of, or a demonstrated willingness to obtain, a working knowledge of regulations impacting broker-dealers.
  • Proficiency in Microsoft Excel and PowerPoint, including experience creating senior management reporting and metrics; ability to perform data mining and analysis.
  • Strong analytical, research, and problem-solving skills, with the ability to analyze large data sets and draw accurate conclusions.
  • Strong knowledge of mutual funds, annuities, equities, fixed income, and investment advisory products.
  • Excellent written and verbal communication skills; strong knowledge of FINRA and SEC regulatory requirements.

Preferred qualifications, capabilities and skills

  • FINRA Series 7 and 24 preferred.
  • Series 8 or 9/10 a plus.
  • Some knowledge of consumer banking regulations is a plus.
  • Bachelor's degree preferred.

About JP Morgan Chase & Co.

JP Morgan Chase & Co. stands at the forefront of the global financial services industry. They offer an expansive array of products and services to a diverse clientele, including individuals, corporations, governments, and institutions. Ever since the merger of J.P. Morgan & Co. and Chase Manhattan Corporation in 2000, this industry-leading entity has become renowned for its comprehensive portfolio encompassing consumer and community banking, corporate and investment banking, commercial banking, as well as asset and wealth management. Headquartered in the vibrant city of New York, JP Morgan Chase & Co. boasts a formidable presence across over 100 countries worldwide.

Unveiling Employment Opportunities at JP Morgan Chase & Co.

Vacancies and Hiring Initiatives

JP Morgan Chase & Co. is continuously on the lookout for talented individuals eager to contribute to its legacy of excellence. The company's recruitment efforts are geared towards identifying candidates with the right blend of skills and qualifications to drive forward its various business segments. Whether you are a seasoned professional or a recent graduate, JP Morgan Chase offers a plethora of job openings across multiple disciplines.

High-Demand Positions

Among the myriad of roles, certain positions stand out for their attractive compensation packages and career advancement prospects. Notably, high-paying jobs at JP Morgan Chase & Co. include Relationship Manager, Branch Manager, and Software Engineer. These roles are critical to the firm's operations and offer lucrative opportunities for those with the requisite expertise.

Navigating the Job Market at JP Morgan Chase & Co.

Leveraging Job Portals and Job Alerts

For job seekers aiming to tap into the opportunities at JP Morgan Chase, staying updated through job portals and subscribing to job alerts is crucial. These tools can provide timely information about job openings, job fairs, and recruitment events, enabling candidates to apply promptly and prepare adequately for interviews.

Preparing Your Job Application

Your job application, comprising your resume and cover letter, is your ticket to securing an interview at JP Morgan Chase. Highlight your qualifications, skills, and experiences that align with the job listing, ensuring you stand out in the competitive job market.

Acing the Interview

Preparation is key to succeeding in your interview with JP Morgan Chase. Familiarize yourself with the company's business segments, values, and recent achievements. Demonstrating how your background and aspirations match the company's goals can significantly increase your chances of employment. A World of Job Opportunites in the Financial Services Industry JP Morgan Chase & Co. offers a world of job opportunities for those seeking to make their mark in the financial services industry. With competitive salaries, comprehensive benefits, and endless possibilities for growth, positions at JP Morgan Chase are highly coveted. By staying informed through job sites, tailoring your applications, and preparing thoroughly for interviews, you can enhance your prospects of joining the esteemed ranks of JP Morgan Chase employees. Explore the job board, seize the job opportunities, and embark on a rewarding career journey with one of the world's leading financial institutions.
Learn more about JP Morgan Chase & Co.
Size
661 employees
Market Cap
$384.5 billion
Industry
Finance & Insurance
Net Income
$29.1 billion
Founded
1823
5 Year Trend
+0.7%
Revenue
$261.5 million
NASDAQ
CCF
* Ladders Estimates

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