Wealth Management Compliance Risk Lead: Trading & Controls

JP Morgan Chase; City of Rochester (NY); On-site; USD 130,000 - 185,000; Full time

Job summary

JPMorgan Chase is seeking a Compliance Risk Management Officer within the Wealth Management and CCOR organizations. You will partner with trading desks and control functions to provide compliance coverage and advisory support for equities and fixed income trading activities.

You will identify regulatory risks, advise on requirements, support control design, and contribute to the firm’s compliance framework across wealth management trading activities.

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.
• Strong analytical, problem-solving, and written communication skills.
• Ability to manage multiple priorities and build effective relationships across business and control functions.
• Bachelor's degree required.

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 abilities

Written communication

Education

Bachelor's degree

Job description

JPMorgan Chase is seeking a Compliance Risk Management Officer within the Wealth Management and CCOR organizations. You will partner with trading desks and control functions to provide compliance coverage and advisory support for equities and fixed income trading activities.

You will identify regulatory risks, advise on requirements, support control design, and contribute to the firm’s compliance framework across wealth management trading activities.