Chase · 22 hours ago
Compliance Risk Management Director - Executive Director
270 Park Ave, New York, NY, 10017, US
Full-time
Onsite
Senior Level, Lead/Staff
$176K/yr - $260K/yr
10+ years expJPMorgan Chase is a leading financial institution, and they are seeking a Compliance Risk Management Director to oversee their Global Rates and Rates Exotics business. The role involves providing regulatory advice, monitoring compliance issues, and coordinating with various control groups to ensure adherence to regulations.
BankingFinancial Services
Responsibilities
Provide real-time advice and challenge to business management and staff on regulatory and compliance issues
Conduct “second line” monitoring of businesses
Assist in preparing responses to regulatory inquiries and examinations from the SEC, FINRA, OCC, CFTC and other regulators
Coordinate with other control groups, such as Business Controls and Operational Risk on initiatives including surveillance, testing, and audits
Coordinate with Compliance colleagues covering functions such as the Control Room regarding information barrier crossings, Personal Account Dealing, Licensing and Registrations, Global Financial Crimes, etc
Participate in various projects, such as those relating to the challenge of “first line” risk assessments
Draft and implement compliance policies and procedures
Monitor regulatory developments, participate in industry groups, and assist in implementing programs to comply with new regulations
Qualification
Required
Bachelor's degree, MBA or law degree, depending on work experience
10+ years of relevant experience in fixed income compliance
Strong knowledge of SEC, FINRA, OCC and CFTC rules relating to fixed income products, loans and derivatives
Strong interpersonal skills and excellent verbal and written communication skills
Ability to manage multiple initiatives simultaneously in a dynamic, fast-paced environment
Strong organizational and project management skills
Preferred
Familiarity with TRACE and/or information barriers a plus
Experience with US Treasury Auctions a plus
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
Chase
Chase provides broad range of financial services. It is a sub-organization of JP Morgan Chase.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Mike McDonnell
Managing Director, Head of Chase Travel Platform Product
Nicole Sanchez
Managing Director, Consumer Bank, GM and Product Executive, Growth Financial Products
Recent News
Small Business Trends
2026-01-18
2026-01-13
Company data provided by crunchbase