Senior Compliance Risk Officer - Wealth Management Trading

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

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.