VP, Regulatory Reporting & Controls-Broker-Dealer Ops

JPMorganChase; Taguig; On-site; PHP 5,000,000 - 9,000,000; Full time

Job summary

JPMorganChase is seeking a Vice President of Regulatory Reporting in the Manila area to lead the day-to-day execution, governance, and continuous improvement of broker-dealer regulatory reporting and related controls. You will oversee submissions, attestations, recordkeeping, and exception management while guiding a team across compliance, legal, risk, finance, technology, and audit.

The role requires a strong risk-and-controls mindset, extensive experience in capital markets operations, and

Qualifications

• 10+ years in capital markets operations, broker-dealer operations, regulatory reporting, or related control and reporting functions.
• Understanding of broker-dealer regulatory reporting frameworks (FINRA, SEC, FED).
• Proven experience owning end-to-end operational processes with a risk and controls mindset.
• People leadership experience in a production environment with mid-size teams.
• Experience leading migrations or major process/technology changes.
• Strong written and verbal communication, including senior-level updates and escalation.
• Ability to collaborate with compliance, legal, risk, finance, technology, and audit.

Responsibilities

• Lead end-to-end delivery of broker-dealer regulatory reporting obligations, with emphasis on FINRA reporting and controls.
• Oversee daily control execution, reconciliations, critical reports, and approvals for timely submissions.
• Validate reporting quality through documentation, evidence capture, and control sign-offs.
• Escalate exceptions and coordinate root-cause analyses and corrective actions.
• Govern Books and Records practices to support record creation, retention, retrieval, and audit readiness.
• Maintain and enhance standard operating procedures and evidence packages for the lifecycle and reporting processes.
• Partner with compliance, legal, and technology to assess impact of changes and embed controls.
• Oversee Abandoned Property (escheatment) workflows and related controls.
• Lead strategic migrations and transformations with milestones, risk tracking, parallel runs, and cutover governance.
• Maintain audit and regulatory readiness during change initiatives through documentation and approvals.
• Lead, coach, and develop a mid-size team with clear objectives and capacity planning.

Skills

Regulatory reporting

Risk and controls

Team leadership

Stakeholder management

Process improvement

Attention to detail

Communication skills

Job description

JPMorganChase is seeking a Vice President of Regulatory Reporting in the Manila area to lead the day-to-day execution, governance, and continuous improvement of broker-dealer regulatory reporting and related controls. You will oversee submissions, attestations, recordkeeping, and exception management while guiding a team across compliance, legal, risk, finance, technology, and audit.

The role requires a strong risk-and-controls mindset, extensive experience in capital markets operations, and