Compliance Risk Management Lead - Vice President

Bring your expertise to JPMorgan Chase.

As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient.

You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities.

Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Vice President within the Compliance, Conduct & Operational Risk (CCOR) team supporting the J.P.

Morgan Securities LLC and J.P.

Morgan Prime Inc.

broker dealers, you will be part of a diverse group of compliance and risk professionals responsible for ensuring the Firm's Compliance, Conduct & Operational Risk (CCOR) Framework is implemented and functions effectively across US Broker-Dealer entities.

Your role will involve acting as an independent second line of defense where you will challenge the function, interact closely with the line of business (LOB), Legal, Audit, and other Risk Management and Compliance key stakeholders.

You be at the center of helping the firm understand, manage, and anticipate risks in a constantly changing environment.

You will need to be a self-starter who possesses the required knowledge and experience in Risk Management as well as regulatory or audit best practices relating to US Broker Dealer regulations, rules, and laws.

CCOR provides independent oversight of the firm's compliance, conduct, and operational risks and maintains a strong control environment.

The work covers areas such as review and challenge of LOB/Functions compliance and operation risk assessments, compliance training, understanding regulatory changes, creation of risk monitoring and testing activities to assess control effectiveness.

Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo, and striving to be best-in-class.

You will need to be a team player, solutions-oriented, and and have an appetite for learning as this role will have a primary focus covering the US Broker-Dealer(s) Compliance program.

Job Responsibilities


* Coordinate periodic reporting to the legal entity boards of directors as well as coordinate with colleagues in Legal and Compliance on industry developments and rulemaking and ensure industry developments are socialized appropriately in governance forums.


* Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements.


* Participate on complex projects, providing guidance, advice, and effective challenge.


* Coordinate and prepare the annual FINRA Compliance and Process Reports for the broker-dealer entities.


* Provide guidance and technical expertise that supports the design, implementation and oversight of the Compliance Program established to support a b...