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Chase · 3 months ago

CCOR Compliance Risk Management Lead - Vice President

390 Madison Ave, New York, NY, 10017, US

Full-time

Onsite

Mid, Senior Level

$128K/yr - $195K/yr

8+ years exp

Chase is a leading financial services firm, and they are seeking a Compliance Risk Management Lead within their Compliance, Conduct and Operational Risk (CCOR) organization. The role involves collaboration with various stakeholders to support compliance programs and manage compliance risks within the Asset Management line of business.

BankingFinancial Services

Responsibilities

Work closely with CCOR subject matter experts in harmonizing policy and practices across regions

Conduct targeted monitoring activities and identify processes that could be automated

Support LOB Advisory Compliance Matters including, but not limited to:

Interact with LOB employees and other stakeholders to provide compliance advice and guidance on regulatory topics

Review and disposition trade alerts escalated from Trade Surveillance and reporting/escalation to the Market Conduct Violation Program

Assist in the completion of Compliance Risk Assessment matters, including challenges

Manage the expert networks process, including chaperoning calls

Develop and provide instructor-led compliance training

Make compliance presentations in client meetings

Work collaboratively with global team members across LOBs and staff areas, including senior management; be both a leader and an active participant in various working groups

Stay current and advise on regulatory updates (SEC and other) impacting the asset management business

Qualification

Compliance expertiseRisk managementInvestment Advisers ActPythonRegulatory knowledgeAudit experienceEffective communicationTeam collaborationInterpersonal skillsTime management

Required

Bachelor's degree

8+ years of relevant industry experience in compliance, audit, risk management, or similar control-related function, including knowledge of, and experience with, the Investment Advisers Act of 1940

Effective Communication Skills: Must possess excellent written and oral communications skills, including the ability to conduct training and group presentations

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

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

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