Compliance Risk Lead - Wealth Management & Brokerage

J.P. Morgan; New York (NY); On-site; USD 170,000 - 230,000; Full time

Benefits offered by this job

Health coverage

On-site health centers

Retirement savings plan

Backup childcare

Tuition reimbursement

Mental health support

Financial coaching

Job summary

JPMorgan Chase in New York seeks a Compliance Risk Management Lead within CCOR to advise the JPMWM organization on regulatory requirements and to balance compliance with business needs.

You will operate in the Second Line of Defense, partnering with Legal, Risk, Technology and control functions to assess new initiatives, review regulatory responses and drive effective risk mitigation across online brokerage and related products.

Qualifications

• 6+ years of financial industry experience in regulatory/compliance or risk management.
• Expertise in SEC, FINRA, MSRB and other SRO rules and regulations.
• Strong communication, analytical and project management skills.

Responsibilities

• Advise JPMWM on compliance aspects of new and existing products and services (online investing, digital account opening, funding, margin).
• Identify compliance and conduct risks inherent within JPMWM.
• Act as independent second line of defense and drive remediation through action plans with process owners.
• Collaborate with Legal, regulatory engagement and other controls to respond to regulatory examinations, audits and inquiries.
• Build and maintain strong relationships with business and control functions across the firm.
• Lead projects necessary to support CCOR initiatives and global programs.
• Draft and maintain Compliance policies, procedures and bulletins in line with regulations.

Skills

Regulatory compliance

Risk management

Policy development

Analytical thinking

Project management

Communication skills

Education

Bachelor’s degree

Job description

JPMorgan Chase in New York seeks a Compliance Risk Management Lead within CCOR to advise the JPMWM organization on regulatory requirements and to balance compliance with business needs.

You will operate in the Second Line of Defense, partnering with Legal, Risk, Technology and control functions to assess new initiatives, review regulatory responses and drive effective risk mitigation across online brokerage and related products.