J.P. Morgan
Compliance Risk Management Lead - Vice President
J.P. Morgan, Jersey City, New Jersey, United States, 07390
Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.
As a Vice President within the Compliance, Conduct & Operational Risk (CCOR) team supporting the J.P. Morgan Securities LLC and J.P. Morgan Prime Inc. broker dealers, you will be part of a diverse group of compliance and risk professionals responsible for ensuring the Firm’s Compliance, Conduct & Operational Risk (CCOR) Framework is implemented and functions effectively across US Broker-Dealer entities. Your role will involve acting as an independent second line of defense where you will challenge the function, interact closely with the line of business (LOB), Legal, Audit, and other Risk Management and Compliance key stakeholders.
You be at the center of helping the firm understand, manage, and anticipate risks in a constantly changing environment. You will need to be a self-starter who possesses the required knowledge and experience in Risk Management as well as regulatory or audit best practices relating to US Broker Dealer regulations, rules, and laws.
CCOR provides independent oversight of the firm’s compliance, conduct, and operational risks and maintains a strong control environment. The work covers areas such as review and challenge of LOB/Functions compliance and operation risk assessments, compliance training, understanding regulatory changes, creation of risk monitoring and testing activities to assess control effectiveness. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo, and striving to be best-in-class. You will need to be a team player, solutions-oriented, and have an appetite for learning as this role will have a primary focus covering the US Broker-Dealer(s) Compliance program.
Job Responsibilities
Coordinate periodic reporting to the legal entity boards of directors as well as coordinate with colleagues in Legal and Compliance on industry developments and rulemaking and ensure industry developments are socialized appropriately in governance forums.
Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements.
Participate on complex projects, providing guidance, advice, and effective challenge.
Coordinate and prepare the annual FINRA Compliance and Process Reports for the broker-dealer entities.
Provide guidance and technical expertise that supports the design, implementation and oversight of the Compliance Program established to support a broker-dealer.
Monitor and act upon regulatory developments relating to Compliance Risks and associated regulatory obligations.
Perform Compliance Risk assessments and reporting to Senior Management and legal entity governance (e.g., review and challenge of process, controls and risk assessments and performing monitoring and testing activities).
Analyze compliance and operational risks to identify and make recommendations for process or control changes and system enhancements.
Develop, maintain, and provide guidance on the applicability of broker-dealer policies and procedures.
Partner with all three lines of defense to strengthen the compliance and operational risk environment of the firm using analytics and independent challenge(s).
Assist in regulatory reviews, audits, exams and inquiries; Maintain FINRA Gateway reporting capabilities for the legal entities.
Required qualifications, capabilities and skills
Bachelor’s degree required and 3+ years of experience supporting a US broker dealer or front office business within a US broker dealer.
Excellent writing and analytical skills.
Adept in communicating clearly and across levels and functions within the organization.
Ability to multi-task, strategize and prioritize in a fast-paced environment. Leverage subject matter expertise and data to make informed decisions.
High proficiency in Microsoft Office Suite.
Strong sense of accountability and ownership of responsibilities; diligent, and self-motivated.
Intellectually curious, and comfortable challenging current practices.
Ability to foster relationships at all levels within the coverage
Preferred qualifications, capabilities and skills
Regulatory experience is a plus.
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As a Vice President within the Compliance, Conduct & Operational Risk (CCOR) team supporting the J.P. Morgan Securities LLC and J.P. Morgan Prime Inc. broker dealers, you will be part of a diverse group of compliance and risk professionals responsible for ensuring the Firm’s Compliance, Conduct & Operational Risk (CCOR) Framework is implemented and functions effectively across US Broker-Dealer entities. Your role will involve acting as an independent second line of defense where you will challenge the function, interact closely with the line of business (LOB), Legal, Audit, and other Risk Management and Compliance key stakeholders.
You be at the center of helping the firm understand, manage, and anticipate risks in a constantly changing environment. You will need to be a self-starter who possesses the required knowledge and experience in Risk Management as well as regulatory or audit best practices relating to US Broker Dealer regulations, rules, and laws.
CCOR provides independent oversight of the firm’s compliance, conduct, and operational risks and maintains a strong control environment. The work covers areas such as review and challenge of LOB/Functions compliance and operation risk assessments, compliance training, understanding regulatory changes, creation of risk monitoring and testing activities to assess control effectiveness. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo, and striving to be best-in-class. You will need to be a team player, solutions-oriented, and have an appetite for learning as this role will have a primary focus covering the US Broker-Dealer(s) Compliance program.
Job Responsibilities
Coordinate periodic reporting to the legal entity boards of directors as well as coordinate with colleagues in Legal and Compliance on industry developments and rulemaking and ensure industry developments are socialized appropriately in governance forums.
Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements.
Participate on complex projects, providing guidance, advice, and effective challenge.
Coordinate and prepare the annual FINRA Compliance and Process Reports for the broker-dealer entities.
Provide guidance and technical expertise that supports the design, implementation and oversight of the Compliance Program established to support a broker-dealer.
Monitor and act upon regulatory developments relating to Compliance Risks and associated regulatory obligations.
Perform Compliance Risk assessments and reporting to Senior Management and legal entity governance (e.g., review and challenge of process, controls and risk assessments and performing monitoring and testing activities).
Analyze compliance and operational risks to identify and make recommendations for process or control changes and system enhancements.
Develop, maintain, and provide guidance on the applicability of broker-dealer policies and procedures.
Partner with all three lines of defense to strengthen the compliance and operational risk environment of the firm using analytics and independent challenge(s).
Assist in regulatory reviews, audits, exams and inquiries; Maintain FINRA Gateway reporting capabilities for the legal entities.
Required qualifications, capabilities and skills
Bachelor’s degree required and 3+ years of experience supporting a US broker dealer or front office business within a US broker dealer.
Excellent writing and analytical skills.
Adept in communicating clearly and across levels and functions within the organization.
Ability to multi-task, strategize and prioritize in a fast-paced environment. Leverage subject matter expertise and data to make informed decisions.
High proficiency in Microsoft Office Suite.
Strong sense of accountability and ownership of responsibilities; diligent, and self-motivated.
Intellectually curious, and comfortable challenging current practices.
Ability to foster relationships at all levels within the coverage
Preferred qualifications, capabilities and skills
Regulatory experience is a plus.
#J-18808-Ljbffr