Chase · 20 hours ago
Compliance Risk Management Lead (Investment Banking) - Vice President
270 Park Ave, New York, NY, 10017, US
Full-time
Onsite
Mid, Senior Level
$128K/yr - $195K/yr
5+ years expChase is a leading financial institution that offers innovative financial solutions. The Compliance Risk Management Lead will partner with various teams to identify compliance risks, maintain a strong control environment, and support regulatory obligations within the investment banking sector.
FinanceBankingFinancial Services
Responsibilities
Identify compliance and conduct risks inherent within product offerings such as M&A, IPOs, follow-on/secondaries, block trades, buybacks, private placements and convertible securities offerings and corporate derivative structures
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 the team with reporting, metrics, project management and conducting compliance risk assessments
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 business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests
Managing independently projects necessary to support initiatives both within the CCOR and across the firm globally
Assist the team in identifying and escalating issues through formal escalation channels, and facilitating timely and effective resolutions
Interact with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies
Qualification
Required
Bachelor's degree required
5+ 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 equity 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
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
2026-02-12
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