VP, Compliance Risk Lead – Wealth & Brokerage

JPMorgan Chase & Co.; Plano (TX); On-site; USD 110,000 - 180,000; Full time

Job summary

JPMorgan Chase & Co. is seeking a Compliance Risk Management Lead within CCOR to support the JPMWM organization, advising on regulatory requirements and balancing business needs.

You will work across legal, risk, technology, and control functions to drive effective compliance across the firm’s online brokerage platform and associated product areas. You will lead projects, develop and oversee policies, and escalate issues through formal channels while staying ahead of industry trends and

Qualifications

• Minimum 6+ years of financial industry experience in regulatory/compliance roles.
• Expertise in SEC, FINRA, MSRB and other SRO rules and regulations.
• Strong written and verbal communication with the ability to influence senior management.

Responsibilities

• Advise JPMWM on compliance aspects of new and existing products and services.
• Identify compliance and conduct risks inherent within JPMWM.
• Act as independent second line of defense and challenge function to JPMWM, raising issues for remediation.

Skills

Regulatory compliance

Risk management

Stakeholder communication

Project management

Analytical thinking

Attention to detail

Change management

AI & automation awareness

Education

Bachelor's degree in finance or related field

Tools

Regulatory reporting systems

Job description

JPMorgan Chase & Co. is seeking a Compliance Risk Management Lead within CCOR to support the JPMWM organization, advising on regulatory requirements and balancing business needs.

You will work across legal, risk, technology, and control functions to drive effective compliance across the firm’s online brokerage platform and associated product areas. You will lead projects, develop and oversee policies, and escalate issues through formal channels while staying ahead of industry trends and