Compliance- Wealth Management Solutions - Vice President

Job Description

Bring your expertise to JPMorgan Chase & Co’s Compliance, Conduct and Operational Risk (CCOR),  where you are at the center of keeping JPMorgan Chase resilient and strong. You will help the firm grow its business and marketing responsibly, by anticipating new and emerging risks, and using your expert judgement to solve challenges that impact our company, customers and communities. Our culture is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Compliance Risk Management Lead, within the  Asset & Wealth Management CCOR, you will support the marketing compliance program by providing diligent oversight, coverage, advice/expertise and assessment of compliance and regulatory risks with respect to marketing activities, processes and controls across J.P. Morgan Private Bank businesses.  Be part of our centralized team as an expert in marketing-related obligations (e.g., FINRA 2210, SEC Rule 206, Investment Company/Advisers Act, OCC, MSRB, CFTC, FTC etc), with dedicated compliance coverage of marketing teams and collaboration with various stakeholders, including: Line of Business (LOB), Product, Supervision, Legal, Controls, Digital, Social Media, Risk/Compliance teams, etc.  

Job responsibilities

• Interact with LOB employees and other stakeholders to provide compliance advice and guidance on marketing-related regulatory topics, industry developments and regulations (including FINRA, SEC, CFPB, FTC etc.).
• Conduct compliance assessment of strategic PB marketing initiatives to help ensure business controls and procedures reasonably meet internal compliance and regulatory requirements/standards.
• Develop and perform Reviews/Monitoring for Private Bank marketing initiatives (e.g. social media, digital, disclosures)  to ensure adequate business controls adhere to existing policies, procedures based on regulatory requirements/standards.
• Identify compliance-related risks for Private Bank marketing practices, processes to measure the sufficiency of controls, and report any observations, findings and final results to key business, control partners and management.
• Develop and deliver marketing-related education, training and compliance bulletins for targeted groups (e.g. Digital, Marketing, Supervisors, Front-office, Sales and Trading Teams, etc.) 
• Identify compliance and regulatory requirements/standards/trends to ensure they are properly reflected in business policies, procedures, controls and training.
• Conduct industry and regulatory research on best practices and standards that relate to new business initiatives (e.g. Digital, Social Media, and other marketing initiatives).
• Coordinate with Marketing Controls, Legal, and other Compliance teams across regions to help ensure that the marketing practices and guidance remains consistent across lines of businesses.
• Process FINRA Advertising Department filings via. “AREF” system for all applicable business “retail communications” approved by an appropriate registered principal, per FINRA Rule 2210. 

Required qualifications, capabilities, and skills

• Bachelor’s Degree
• 5+ years previous investment product marketing experience as compliance/legal, control, risk or supervisory professional at a major law firm, regulator, fund or financial institution.
• Working knowledge of FINRA (2210/2220/2214), SEC (482, Investment Company Act, Investment Adviser’s Act) OCC marketing and communication rules, requirements and industry standards.
• Working knowledge of Wealth Management/Private Bank investment business, its products and services across representatives, digital, social media, paid media, etc.
• Effective Communication Skills:  Must possess excellent written and oral communications skills, including the ability to conduct training and group presentations
• Must have strong interpersonal skills and be flexible in work style and be able to work appropriately with global stakeholders and colleagues at all levels.
• Commitment to precision and adherence to disciplined processes is essential
• Collaborative and Adaptable Team Player:  Must thrive in a dynamic, global team environment and embrace collaboration (with the ability to work independently)
• Demonstrates a passion for regulatory best practices and a desire to learn about investment concepts; able to work independently with good time management skills
• Must bring initiative, energy, intellectual curiosity, and a strong dedication to achieving results

Preferred qualifications, capabilities, and skills

• FINRA Registered Principal Series 24, or other Principal FINRA licenses
• Experience using Python, AI, and other technology resources to design and implement compliance monitoring and testing
• MBA or professional certification (CFA, CPA, etc.) highly desirable
• Audit, Regulatory and/or Testing experience desired

About Us

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans

About the Team

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.