Compliance Risk Management Lead - Vice President

J.P. Morgan; New York (NY); On-site; USD 100,000 - 160,000; Full time

Job summary

A leading financial services firm seeks a Compliance Officer to join its Risk Management team, focusing on hedge fund compliance. Responsibilities include monitoring ownership levels, regulatory updates, and oversight of trading processes. Ideal candidates will have 5+ years of experience, strong communication skills, and meticulous attention to detail.

Qualifications

• Minimum of 5 years of relevant hedge fund compliance experience.
• Strong verbal and written communication skills necessary.
• Commitment to precision and adherence to disciplined processes.

Responsibilities

• Monitor daily beneficial ownership levels and responsible for Section 13 and 16 filings.
• Conduct daily ERISA monitoring and security review.
• Stay current and advise on regulatory updates impacting business.

Skills

Effective Communication Skills

Meticulous Attention to Detail

Collaborative and Adaptable Team Player

Entrepreneurial Mindset

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.

About Highbridge Capital Management

Highbridge Capital Management, LLC, founded in 1992, is a global alternative asset management firm. Over the years, it has developed a diversified investment platform that includes hedge funds, co-investment vehicles, and committed, closed-end vehicles designed for longer-term holding periods.

Today, Highbridge distinguishes itself as a credit, relative value and volatility-focused franchise, with the flexibility to invest opportunistically across the capital structure and liquidity spectrum. Currently managing over $4 billion in capital, the firm strives to generate attractive risk-adjusted returns for a financially sophisticated clientele, including institutional investors, public and corporate pension funds, sovereign wealth funds, endowments, foundations, and family offices. Headquartered in New York, Highbridge also operates an office in London.

Job Responsibilities

• Monitor daily beneficial ownership levels and responsible for Section 13 and 16 filings
• IPO and Secondary offerings
• Conduct daily ERISA monitoring and security review
• Control and conduct the Wall Cross process with bankers
• Design and implement MNPI oversight and control
• Maintain the Restricted List (additions and timely removals)
• Interact with trading desk on emergent daily trading questions
• Stay current and advise on regulatory updates (SEC, NFA, DOL, etc.) impacting our business
• Oversee and review principal trading and the investor trade consent process
• Manage Expert Networks, including chaperoning calls when applicable
• Monitor data rooms for usage and MNPI control

Required qualifications, capabilities, and skills

• Experience: Minimum of 5 years of relevant hedge fund compliance experience
• Effective Communication Skills: Strong verbal and written communication skills are necessary to engage effectively with both internal and external stakeholders
• Meticulous Attention to Detail: A commitment to precision and adherence to disciplined processes is essential
• Collaborative and Adaptable Team Player: Must thrive in a dynamic, global team environment and embrace collaboration
• Motivated: Demonstrates a passion for regulatory best practices and a desire to learn about investment concepts
• Entrepreneurial Mindset: Should bring energy, intellectual curiosity, and a strong dedication to achieving results.