Compliance Risk Management Lead

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

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 Compliance Risk Management Lead within Compliance, Conduct and Operational Risk (CCOR), you will be joining a team of Compliance professionals from a diverse range of backgrounds and experience as part of the Second Line of Defense (2LOD) who collectively ensure that the firm’s compliance framework is implemented and functions effectively. You will work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Your diverse mandate means you will also provide input on new business strategies, products, policies, procedures, training, operational processes, risk mitigation and control. You will focus on providing Compliance support for the firm’s J.P. Morgan Wealth Management (JPMWM) organization, specifically the J.P. Morgan Self‑Directed Investing online brokerage platform and associated product areas.

In this role, you will be highly visible to senior management and will work with key stakeholders including the business, Legal, Risk, Control Management, Technology, Internal Audit, Finance & Business Management and other control functions across the firm’s JPMWM organization and other areas in JPMorgan Chase.

Job Responsibilities

• Advise the JPMWM business on compliance aspects of new and existing products and services including but not limited to the firm’s online investing platform, digital account opening, investment funding, margin and lending.
• Identify compliance and conduct risks inherent within JPMWM.
• Act as independent second line of defense and challenge function to JPMWM, raising issues for the business to remediate through action plans and partnering with the business process owners in control design, control evaluation, and issue management of compliance and conduct risks.
• Collaborate with Legal, regulatory engagement, the business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests.
• Build and maintain strong client relationships with the business, Risk, Legal, Technology and business aligned Corporate Functions.
• Manage projects independently necessary to support initiatives both within the CCOR and across the firm globally.
• Draft and maintain Compliance policies, procedures and bulletins which may include addressing new business initiatives and technology enhancements, reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.
• Assist the team in identifying and escalating issues through formal escalation channels and facilitating timely and effective resolutions.
• Interact regularly with colleagues in other lines of business, control functions and other regions on regulatory matters, cross‑border questions, compliance risk assessments, project management and formulating consistent approaches on corporate regulatory policies.
• Represent Compliance in governance forums and field compliance related questions from the JPMWM business on new initiatives and day‑to‑day activities.
• Keep abreast of industry trends and standards and anticipate areas of focus and attention of regulators.

Required qualifications, capabilities and skills

• Minimum University/Bachelor’s Degree with at least 6+ years of financial industry experience as a regulator in a law firm or control function such as Compliance, risk management, an in‑house attorney or audit in a large financial institution offering wealth management, private banking, asset management and institutional capital markets.
• Expertise in financial investment products and services offered by a broker‑dealer and investment adviser (e.g. investments such as fixed income, equity, listed options, margin trading, etc) and related SEC, FINRA, MSRB and other SRO rules and regulations.
• Highly disciplined, ability to make independent decisions and work with limited supervision while excelling in a dynamic, demanding environment as a core team member.
• Good communicator (written and oral) with strong analytical, problem‑solving and project management skills with successful track record of completion.
• Strong attention to detail and proven ability to identify potential process and control issues and develop and present solutions to key stakeholders.
• Strong interpersonal and influencing skills and ability to embrace and drive change.
• Ability to multi‑task, prioritize and thrive in a fast‑paced and evolving environment.
• Demonstrated familiarity with artificial intelligence (AI) and automation tools, and the ability to identify opportunities to apply them to enhance compliance processes and improve efficiency.

Preferred qualifications, capabilities and skills

• Familiarity with Wealth Management (WM) and aspects of online brokerage platforms, digital innovation and tools and technology will be an advantage.
• Demonstrates understanding of cryptocurrency and digital‑asset markets, products, and evolving regulatory frameworks.
• Exposure to multiple risk disciplines (e.g., credit, investment, fiduciary, reputation) will be an advantage.
• Experience with risk management, control management, capital markets structure, compliance and audit in the financial services industry.
• Self‑motivated, driven and intellectually curious.

Benefits

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission‑based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on‑site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans.