JPMorganChase · 19 hours ago
Compliance Risk Management Lead - Vice President
New York, NY
Full-time
Onsite
Mid, Senior Level
$128K/yr - $195K/yr
7+ years expJPMorgan Chase is a leading financial institution that offers innovative financial solutions globally. The Compliance Risk Management Lead - Vice President will oversee compliance and conduct risks, collaborating with various teams to ensure effective control environments and compliance with regulations.
Asset ManagementBankingFinancial Services
Responsibilities
Identify compliance and conduct risks inherent within product offerings such as IPOs, follow-on/secondaries, block trades, buybacks, private placements, and convertible securities offerings and corporate derivative structures
Act as independent second line of defense and challenge function to Global Investment Banking, raising issues for the front office to remediate through action plans and partnering with the front office process owners in control design, control evaluation, and issue management of compliance and conduct risks
Build and maintain strong client relationships with front office personnel, business management, control managers, technology and business-aligned Corporate Functions
Work proactively with the front office to maintain, enhance and develop an effective control environment and supervisory program
Work with business management to ensure the front office maintains effective written supervisory procedures
Assist team with reporting, metrics, project management, and conducting compliance risk assessments
Develop and perform reviews designed to effectively monitor the activities conducted by the front office and other support groups
Draft and maintain Compliance policies, procedures and bulletins reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices
Design and deliver training to support compliance with applicable regulatory obligations, the firm’s compliance-related policies and procedures and industry best practices
Collaborate with the business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests as well as interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies
Manage projects necessary to support initiatives both within CCOR and across the firm globally as well as assist team in identifying and escalating issues through formal escalation channels, and facilitating timely and effective resolutions
Qualification
Required
7+ years' experience within an investment bank, law firm or regulator covering investment banking and equity capital markets instruments and products
Extensive knowledge of SRO and SEC rules and regulations relating to investment banking syndicate, sales, trading, and capital markets
Ability to work both independently and as a core team member
Excellent research, analysis, written and interpersonal and communication skills
Detail-oriented; possess a high-level of attention to detail and quality for their work product
Bachelor's degree required
Benefits
Comprehensive health care coverage
On-site health and wellness centers
A retirement savings plan
Backup childcare
Tuition reimbursement
Mental health support
Financial coaching
Company
JPMorganChase
With a history tracing its roots to 1799 in New York City, JPMorganChase is one of the world's oldest, largest, and best-known financial institutions—carrying forth the innovative spirit of our heritage firms in global operations across 100 markets.
10001+ employees
H1B Sponsorship
JPMorganChase has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
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Trends of Total Sponsorships
2025 (3471)
2024 (3469)
2023 (3395)
2022 (3594)
2021 (2515)
2020 (2495)
Funding
Current Stage
Public CompanyTotal Funding
unknown1998-02-01IPO
Leadership Team
Allison Beer
CEO of Card Services and Connected Commerce
Dan Mendelson
CEO, Morgan Health
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