Assistant General Counsel - Wealth Management - Vice President

JPMorgan Chase & Co.; Columbus (OH); On-site; USD 180,000 - 260,000; Full time

Job summary

JPMorgan Chase & Co. is seeking a Wealth Management Attorney - Assistant General Counsel, Vice President, within our Wealth Management Legal team.

You will provide critical guidance to retail investment business groups and collaborate with Compliance, Risk and Controls to ensure comprehensive support and regulatory compliance. The role focuses on legal issues and risks relevant to bank-based sales channels and bank wealth management products, positioning you as a trusted advisor to business

Qualifications

• Minimum 8 years of legal practicing experience in financial services.
• Demonstrated expertise in broker‑dealer and investment advisory matters.
• Strong knowledge of federal and state securities laws and FINRA rules.
• Licensed to practice law and in good standing in the relevant jurisdiction.

Responsibilities

• Serve as a primary legal contact supporting JPMorgan Wealth Management's bank-based sales channel for the retail investment business.
• Serve as legal counsel for banking products distributed through JPMorgan Wealth Management, intersecting banking and broker‑dealer products.
• Provide ongoing guidance on applicable banking and securities laws, including CFPB and Federal Reserve Board regulations, UDAAP, FINRA and SEC rules.
• Interpret consumer banking and securities laws and advise on impact of changes.
• Advise on projects and initiatives defining retail Wealth Management including banker licensing and compensation.
• Collaborate with Wealth Management attorneys and Consumer Banking Legal teams for coordinated support.
• Partner with Compliance, Risk, and Controls to ensure effective risk management and regulatory compliance.
• Identify, assess, and manage legal risks related to bank wealth management services and products.
• Participate in special projects beyond core responsibilities as needed.
• Adapt to evolving business needs and priorities in a dynamic environment.
• Ensure comprehensive support for licensed bankers, sales management, operations, risk and controls teams.

Skills

Broker-dealer matters

Investment-advisory matters

Securities laws

Job description

Join J.P. Morgan’s Legal team and deliver impactful legal advice and help drive J.P. Morgan Wealth Management’s success. As a trusted advisor, you’ll work alongside top professionals in a dynamic, collaborative, and inclusive environment. Your expertise will drive innovative credit solutions and support sophisticated transactions and business initiatives. Elevate your career with a team that values your skills and fosters professional growth.

As a Wealth Management Attorney - Assistant General Counsel, Vice President, within our Wealth Management Legal team, you will provide critical guidance and support to several of the Firm’s retail investment business groups for J.P. Morgan Wealth Management. You will work closely with business colleagues, acting as a trusted advisor and collaborating with Compliance, Risk, and Controls functions to ensure comprehensive and effective support. This role will identify, analyze, document, and advise on legal issues and risks relevant to J.P. Morgan Wealth Management’s bank-based sales channel and bank wealth management products.

The Legal Department at JPMorganChase manages legal and other risks, advises on products and services, interprets laws and regulations that impact the firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and legal professionals with a reputation as thought leaders who deliver best‑in‑class services. As trusted advisors, we help the firm’s clients while also safeguarding the integrity of the firm. We are committed to a culture of inclusivity and belonging, where people can grow and succeed throughout their careers while working for a first‑in‑class financial institution doing cutting‑edge work. If these values resonate with you, we would like to hear from you.

Job Responsibilities

• Serve as a primary legal contact supporting J.P. Morgan Wealth Management’s bank-based sales channel for the retail investment business.
• Serve as legal counsel for banking products distributed through J.P. Morgan Wealth Management, with a primary focus on the intersection of retail/consumer bank and broker‑dealer products and services.
• Provide ongoing, strategic advice and guidance on applicable banking and securities laws, rules, and regulations, including CFPB and Federal reserve Board regulations, UDAAP, and FINRA and SEC rules related to retail investors (including those banking and investing online).
• Interpret existing, contemplated, and proposed consumer banking and securities laws, rules, and regulations, and advise on the impact of changes.
• Advise on a wide range of projects and initiatives that will help define our retail Wealth Management business including banker licensing, banker compensation, and bank-based sales strategies.
• Collaborate with fellow Wealth Management attorneys and the Consumer Banking Legal team to deliver coordinated legal support.
• Partner closely with Compliance, Risk, and Controls functions to ensure effective risk management and regulatory compliance.
• Identify, assess, and manage legal and other risks related to bank wealth management services and products.
• Participate in special projects and initiatives beyond core responsibilities, as needed.
• Adapt to evolving business needs and priorities in a dynamic environment.
• Ensure comprehensive support for licensed bankers, sales management, operations, risk, and controls teams.

Required Qualifications, Capabilities, and Skills

• Minimum 8 years of legal practicing experience in financial services.
• Demonstrated expertise in broker‑dealer and investment advisory matters.
• Strong knowledge of federal and state securities laws and FINRA rules, as well as OCC guidance on the sales of retail non‑deposit investment products.
• Proven ability to manage multiple issues in a fast‑paced environment.
• Skilled at understanding business needs and developing practical solutions.
• Excellent verbal and written communication skills.
• Licensed to practice law and a member in good standing in the relevant jurisdiction.

All candidates for roles in the Legal department must be licensed to practice law in the country of employment and successfully complete a conflicts of interest clearance review prior to commencement of employment.