Regulatory Reporting Vice President - Markets Operations Broker-Dealer Servicing

JPMorgan Chase; Philippines; Sur place; PHP 1 500 000 - 2 100 000; Plein temps

Résumé du poste

JPMorgan Chase in the Philippines seeks a Vice President of Regulatory Reporting to lead broker-dealer reporting, governance, and control execution. You will oversee submissions, attestations, and recordkeeping while guiding a mid-size team through change to strengthen risk and compliance culture.

The role emphasizes end-to-end ownership, strong collaboration across compliance, legal, risk, finance, and technology, and a focus on process improvements to ensure timely, well-documented outcomes.

Qualifications

• 10+ years of relevant experience in capital markets operations.
• Understanding of broker-dealer reporting frameworks (FINRA, SEC, FED).
• Ownership of end-to-end processes with a risk and controls mindset.
• People leadership, including developing a mid-size team in a production environment.
• Experience leading change initiatives, including migrations or major tech changes.
• Strong written and verbal communication for senior-level updates.
• Analytical, detail-oriented, able to identify trends and drive remediation.
• Ability to collaborate with compliance, legal, risk, finance, technology, and audit.

Responsabilités

• Lead end-to-end delivery of broker-dealer regulatory reporting obligations with emphasis on FINRA reporting and related controls.
• Oversee daily control execution, reconciliations, critical reports, and approvals for accurate submissions.
• Validate reporting quality through documented reviews and evidence, with control sign-offs.
• Escalate exceptions, errors, and control breaks; drive root-cause analysis and corrective actions.
• Govern Books and Records practices to support record creation, retention, retrieval, and audit readiness.
• Maintain SOPs, control documentation, and evidence packages for lifecycle and reporting processes.
• Partner with compliance, legal, and technology on changes and embed appropriate controls.
• Oversee Abandoned Property (escheatment) processes and controls as applicable.
• Lead strategic migrations and transformations with milestones, risk tracking, parallel runs, and cutover governance.
• Maintain audit and regulatory readiness during change initiatives with documentation and approvals.
• Lead, coach, and develop a mid-size team with performance management and cross-training.

Connaissances

Regulatory reporting

Leadership

Communication

Analytical thinking

Risk & controls

Process improvement

Collaboration

Description du poste

Regulatory Reporting Vice President - Markets Operations Broker-Dealer Servicing

Company : Jpmorgan Chase

Job Type : Full Time

Location : Philippines

Help shape the integrity and reliability of broker-dealer regulatory reporting in a high-impact operations leadership role. You will lead critical reporting, recordkeeping governance, and control execution that supports a strong risk and compliance culture. You will partner closely with cross-functional stakeholders and drive process improvements that strengthen quality and resilience. If you thrive in a control-focused environment and enjoy leading teams through change, this role offers meaningful scope and visibility.

As a Vice President - Regulatory Reporting in the regulatory reporting and controls team, you will lead the day-to-day execution, governance, and continuous improvement of broker-dealer regulatory reporting and related control obligations. You will oversee submissions, attestations, recordkeeping, and exception management to support accurate, timely, and well-documented outcomes. You will lead a team and collaborate with partners across compliance, legal, risk, finance, technology, and audit.

Job responsibilities

• Lead end-to-end delivery of broker-dealer regulatory reporting obligations, with a strong emphasis onFINRAreporting and associated controls, ensuring flawless execution against deadlines and cut-offs.


• Oversee daily control execution, reconciliations, critical reports, and approvals to support accurate and timely submissions.


• Validate reporting quality through documented reviews, evidence capture, and control sign-offs aligned to established procedures.


• Escalate exceptions, errors, and control breaks in a timely manner and coordinate root-cause analysis and corrective and preventative actions.


• Govern Books and Records practices to support record creation, retention, retrieval, and audit or examination readiness.


• Maintain and enhance standard operating procedures, control documentation, and evidence packages supporting the record lifecycle and reporting processes.


• Partner with compliance, legal, and technology stakeholders to assess recordkeeping and reporting impacts from process or system changes and ensure appropriate controls are embedded.


• Oversee Abandoned Property (escheatment) operational execution and controls, including identification, due diligence, reporting, remittance, retention, and exception handling, as applicable.


• Lead strategic migrations and transformations (process, platform, operating model, and/or location changes) with defined milestones, risk and dependency tracking, parallel runs, and cutover governance.


• Maintain audit and regulatory readiness during change initiatives through documentation, evidence retention, approvals, and post-implementation monitoring.


• Lead, coach, and develop a mid-size team through clear objectives, performance management, capacity planning, and cross-training to support coverage resilience.

Required qualifications, capabilities and skills

• 10+ years of relevant experience in capital markets operations, broker-dealer operations, regulatory reporting, or related control and reporting functions.


• Demonstrated understanding of broker-dealer regulatory reporting frameworks and operational expectations (e.g., FINRA, SEC, and FED requirements).


• Proven experience owning end-to-end operational processes with a strong risk and controls mindset.


• Demonstrated people leadership experience, including leading and developing a mid-size team in a production environment.


• Experience leading change initiatives, including migrations or major process and technology changes, with strong execution discipline.


• Strong written and verbal communication skills, including senior-level updates and structured escalation.


• Strong analytical and attention-to-detail skills, including the ability to identify trends, detect anomalies, and drive sustainable remediation.


• Ability to collaborate effectively with stakeholders across compliance, legal, risk, finance, technology, and audit.

Preferred qualifications, capabilities and skills

• Experience with Books and Records control frameworks, record retention, and operating models in a broker-dealer environment.


• Experience overseeing Abandoned Property (escheatment) processes and controls.


• Experience in broker-dealer operations servicing or securities operations.


• Experience driving automation and process improvement initiatives to improve control effectiveness and operational efficiency.


• Familiarity with relevant regulatory topics such as OFAS (Office of Foreign Assets Control Screening), REG W (Regulation W), FED PCS (Federal Reserve Payment, Clearing and Settlement) or comparable broker-dealer regulatory policies and standards.


• FINRA Series 99 (Operations Professional) certification, or willingness to obtain if required.