Senior Compliance Risk Manager - Wealth Management Solutions

Aumni; New York (NY); On-site; USD 110,000 - 170,000; Full time

Job summary

JPMorgan Chase is seeking a Compliance Risk Management Senior Associate to support Wealth Management trading activities. You will provide advisory coverage for equities and fixed income, assess regulatory requirements, and help enhance controls and policies across trading functions.

The role involves risk assessments, identifying control gaps, and collaborating with Legal, Surveillance, and Operational Risk to strengthen our compliance framework.

Qualifications

• 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.

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 risk management

Analytical skills

Communication skills

Education

Bachelor's degree

Job description

JPMorgan Chase is seeking a Compliance Risk Management Senior Associate to support Wealth Management trading activities. You will provide advisory coverage for equities and fixed income, assess regulatory requirements, and help enhance controls and policies across trading functions.

The role involves risk assessments, identifying control gaps, and collaborating with Legal, Surveillance, and Operational Risk to strengthen our compliance framework.