Compliance Risk Management Senior Officer - Wealth Management Solutions - Associate

Security Capital Research; New York (NY); On-site; USD 130,000 - 180,000; Full time

Job summary

JPMorgan Chase is seeking a Compliance Risk Management Officer within Wealth Management to provide advisory support for equities and fixed income trading activities. The role partners with trading desks and control functions to identify regulatory risks, advise on requirements, and help design and enhance controls.

You will support reviews, implement regulatory changes, and promote a strong compliance culture across Wealth Management trading activities.

Qualifications

• 3+ years of experience in trading compliance, market regulation, risk management, or related control function.
• Working knowledge of SEC, FINRA, and MSRB rules affecting securities trading and distribution activities.
• Familiarity with best execution, trade reporting, market conduct, and supervisory control frameworks.

Responsibilities

• Provide compliance advisory coverage for Wealth Management equities and fixed income trading activities.
• Advise on regulatory requirements impacting trading businesses, including best execution, trade reporting, sales and trading conduct, and distribution of securities.
• Maintain and enhance policies, procedures, and standards governing trading-related activities.
• Participate in risk assessments and challenge the identification and management of regulatory and compliance risks.
• Identify control gaps, determine root causes of issues, and partner with stakeholders to develop and implement corrective actions.
• Support regulatory examinations, audits, inquiries, and remediation efforts.
• Partner with Surveillance, Operational Risk, Legal, and other control functions to promote a strong compliance culture and effective risk management framework.
• Conduct targeted reviews, ongoing monitoring activities, and special projects related to trading and market conduct compliance.
• Assist with implementation of regulatory developments, business initiatives, and new products impacting Wealth Management trading activities.

Skills

Trading compliance

Regulatory knowledge

SEC/FINRA/MSRB rules

Analytical skills

Cross-functional collaboration

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 Officer within the JPM Wealth Management team and the Compliance Conduct and Operational Risk (CCOR) organization, you will partner with trading desks, business leaders, and control functions to provide compliance coverage and advisory support for Wealth Management equities and fixed income trading activities. You will be responsible for identifying and assessing regulatory and compliance risks, advising on regulatory requirements, supporting the design and enhancement of controls, and contributing to the firm's overall compliance framework.

You will provide direct exposure to trading, market structure, distribution activities, and regulatory change management across Wealth Management businesses.

Job Responsibilities

• Provide compliance advisory coverage for Wealth Management equities and fixed income trading activities.
• Advise on regulatory requirements impacting trading businesses, including best execution, trade reporting, sales and trading conduct, and distribution of securities.
• Maintain and enhance policies, procedures, and standards governing trading-related activities.
• Participate in risk assessments and challenge the identification and management of regulatory and compliance risks.
• Identify control gaps, determine root causes of issues, and partner with stakeholders to develop and implement corrective actions.
• Support regulatory examinations, audits, inquiries, and remediation efforts.
• Partner with Surveillance, Operational Risk, Legal, and other control functions to promote a strong compliance culture and effective risk management framework.
• Conduct targeted reviews, ongoing monitoring activities, and special projects related to trading and market conduct compliance.
• Assist with implementation of regulatory developments, business initiatives, and new products impacting Wealth Management trading activities.

Required qualifications, capabilities and skills

• 3+ years of experience in trading Compliance, market regulation, risk management, or a related control function.
• Working knowledge of SEC, FINRA, and MSRB rules affecting securities trading and distribution activities.
• Familiarity with best execution, trade reporting, market conduct, and supervisory control frameworks.
• Strong analytical, problem-solving, and written communication skills.
• Ability to manage multiple priorities and build effective relationships across business and control functions.
• Bachelor's degree required.

Preferred qualifications, capabilities and skills

• Experience supporting equities and fixed income trading businesses.
• Experience interacting with regulators, auditors, and control partners.
• Knowledge of primary market activities, including securities distributions and related regulatory requirements.
• JD, MBA, or relevant industry certifications a plus.