JPMorganChase · 7 hours ago
Compliance Risk Management Director - Executive Director
New York, NY
Full-time
Onsite
Senior Level, Lead/Staff
$176K/yr - $260K/yr
10+ years expJPMorgan Chase is one of the oldest financial institutions, providing innovative financial solutions globally. The Compliance Risk Management Director will oversee the Global Rates and Rates Exotics business, providing advice on regulatory issues and ensuring compliance with various regulatory bodies.
Asset ManagementBankingFinancial 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
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)
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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
Private Banker International
2026-01-19
2026-01-17
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