VP, Compliance Risk Lead - Wealth Management

JP Morgan Chase; Plano (TX); On-site; USD 140,000 - 200,000; Full time

Job summary

JPMorgan Chase in Plano, TX is seeking a Compliance Risk Management Lead within CCOR to safeguard the firm across Wealth Management and the online investing platform. You will advise internal stakeholders on regulatory obligations, balancing business needs with compliance and risk mitigation.

You will collaborate with Legal, Risk, Technology and control functions to manage regulatory examinations, develop and maintain policies, and lead complex cross-border initiatives.

Qualifications

• 6+ years of financial industry experience as a regulator in a law firm or control function such as Compliance, risk management, in-house attorney or audit in a large financial institution offering wealth management, private banking, asset management and institutional capital markets
• Expertise in financial investment products and services offered by a broker-dealer and investment adviser and related SEC, FINRA, MSRB and other SRO rules and regulations
• Strong decision-making, independent work capability, and ability to thrive in a dynamic environment as a core team member
• Strong communication (written and oral) with analytical, problem solving and project management skills
• Attention to detail and ability to identify and remediate control issues with key stakeholders
• Interpersonal and influencing skills with change management capability
• Familiarity with AI and automation tools and potential to apply them to compliance processes

Responsibilities

• Advise the JPMWM business on compliance aspects of new and existing products and services, including online investing platform, digital account opening, investment funding, margin and lending
• Identify compliance and conduct risks inherent within JPMWM
• Act as independent second line of defense and challenge function to JPMWM, raising issues for remediation
• Collaborate with Legal, regulatory engagement, the business and other control functions to respond to regulatory examinations, audits, investigations, inquiries and other information requests
• Build and maintain strong client relationships with the business, Risk, Legal, Technology and Corporate Functions
• Manage projects independently to support CCOR initiatives and across the firm globally
• Draft and maintain Compliance policies, procedures and bulletins addressing new business initiatives and technology enhancements
• Assist the team in identifying and escalating issues through formal channels and facilitating timely resolutions
• Interact with colleagues in other lines of business, control functions and regions on regulatory matters and cross-border questions
• Represent Compliance in governance forums and field compliance questions from JPMWM on new initiatives and day-to-day activities
• Keep abreast of industry trends and regulators’ focus areas

Skills

Regulatory experience

Financial industry

Compliance

Audit

Project management

Communication

Attention to detail

AI & automation familiarity

Education

Bachelor’s Degree

Job description

JPMorgan Chase in Plano, TX is seeking a Compliance Risk Management Lead within CCOR to safeguard the firm across Wealth Management and the online investing platform. You will advise internal stakeholders on regulatory obligations, balancing business needs with compliance and risk mitigation.

You will collaborate with Legal, Risk, Technology and control functions to manage regulatory examinations, develop and maintain policies, and lead complex cross-border initiatives.