JPMorganChase · 8 hours ago
Compliance Risk Management Lead - Vice President
New York, NY
Full-time
Onsite
Mid, Senior Level
$109K/yr - $195K/yr
5+ years expJPMorgan Chase is a leading financial institution offering innovative financial solutions. The Compliance Risk Management Vice President will serve as an independent second line of defense within the Prime Finance team, focusing on compliance and conduct risks while collaborating with various stakeholders to enhance the control environment.
Asset ManagementBankingFinancial Services
Responsibilities
Act as independent second line of defense and challenge function to Prime Finance and the sales and trading businesses, 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
Collaborate with legal, regulatory engagement, the business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests
Build and maintain strong client relationships with front office personnel, business management, control managers, legal, technology and business aligned Corporate Functions
Work proactively with Business Control Management to maintain, enhance and develop an effective control environment and supervisory program
Manage projects independently necessary to support initiatives both within the CCOR and across the firm globally
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
Assist the team in identifying and escalating issues through formal escalation channels and facilitating timely and effective resolutions
Interact regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, compliance risk assessments, project management and formulating consistent approaches on corporate regulatory policies
Identify compliance and conduct risks inherent within the Prime Finance business
Qualification
Required
Bachelor's degree
5+ years of professional experience in the financial services industry in areas such as Compliance, law, risk management or audit
Awareness of general regulatory requirements applicable to a Broker-Dealer including US laws and industry standard
Ability to review and digest complex content and data, analyze and draw conclusions
Strong organizational and project management skills; able to manage competing priorities under tight deadlines
Strong interpersonal skills, with proven ability to build strong partnerships, collaborate and drive outcomes
Intellectual curiosity with a proven ability to learn quickly
Strong Excel skills
Preferred
Knowledge of compliance regulations, those applicable to the Prime Brokerage business, including Regulation SHO is preferred
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
Represents job field similar to this job
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
Recent News
2026-01-13
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2026-01-08
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