Senior Compliance Risk Lead - Wealth Management

JPMorgan Chase; Plano (TX); On-site; USD 150,000 - 190,000; Full time

Job summary

JPMorgan Chase invites a Compliance Risk Management Lead to join the Second Line of Defense within CCOR, focusing on the JPMWM online investing platform and related products. The role involves advising internal stakeholders, addressing regulatory requirements, and guiding risk assessments in partnership with Legal, Risk, Technology and Control Management.

The ideal candidate brings extensive financial industry experience, strong regulatory knowledge, and proven ability to manage complex projects

Qualifications

• Bachelor's degree with 6+ years of financial industry experience in a regulator, law firm or control function.
• Expertise in financial investment products and related SEC, FINRA, MSRB and other SRO rules and regulations.
• Highly disciplined with the ability to make independent decisions in a dynamic, demanding environment.
• Strong written and oral communication and analytical problem-solving skills.

Responsibilities

• Advise JPMWM on compliance aspects of new and existing products and services, including online investing, digital account opening, funding and lending.
• Identify compliance and conduct risks inherent within JPMWM.
• Act as independent second line of defense and raise issues for remediation with action plans.
• Collaborate with Legal, regulatory engagement, business and control functions to respond to regulatory examinations and inquiries.
• Build and maintain strong client relationships with the business, Risk, Legal and Technology teams.
• Manage projects independently to support CCOR initiatives and firm-wide efforts.
• Draft and maintain Compliance policies, procedures and bulletins to support regulatory obligations.
• Escalate issues through formal channels and facilitate timely resolutions.
• Interact with colleagues across regions on regulatory matters and cross-border questions.
• Represent Compliance in governance forums and respond to day-to-day compliance questions.

Skills

Regulatory knowledge

Risk management

Analytical thinking

Communication skills

Independent decision making

Education

Bachelor's degree

Job description

JPMorgan Chase invites a Compliance Risk Management Lead to join the Second Line of Defense within CCOR, focusing on the JPMWM online investing platform and related products. The role involves advising internal stakeholders, addressing regulatory requirements, and guiding risk assessments in partnership with Legal, Risk, Technology and Control Management.

The ideal candidate brings extensive financial industry experience, strong regulatory knowledge, and proven ability to manage complex projects