JPMorgan Chase Corporate Compliance - North America Operations and Technology Compliance Team - Managing Director in New York, New York
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at http://www.jpmorganchase.com/.
Our Compliance Function
With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.
J.P. Morgan's Compliance Department is seeking a highly motivated individual to serve as a Compliance Managing Director within its Corporate and Investment Banking (“CIB”) team. In this role you will lead the North America team providing compliance advice to and oversight of the Operations and Technology teams that provide horizontal support across the CIB, including both Securities and Banking businesses.
Specific focus areas will include Broker-Dealer Clearance and Settlement, Emerging Technology/FINTECH, Financial Operations including Financial Responsibility Regulations, Data Integrity and Records Retention, Regulatory Reporting, Payments, and Wholesale Banking Operations.
• Advise the Operations and Technology organizations on how to meet regulatory obligations and assess the impact of proposed regulations through the evaluation of regulatory developments as well as implementation of required controls.
• Create and maintain Compliance policies 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.
• Develop Compliance metrics as needed.
• Drive consistent escalation and reporting to applicable governance and control forums.
• Determine annual Compliance Test plan including individual test scripts.
• Serve as escalation point for potential issues including sufficiency of potential action plans.
• Complete the Compliance Risk Assessment relative to the Operations and Technology organizations and provide input where appropriate to highlight changes in the risk / control / regulatory environment.
• Participate in Industry roundtable groups to discuss regulatory expectations and industry best practices.
• Collaborate to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests.
• Independently manage projects necessary to support initiatives both within the Compliance Department and across the firm globally.
• 12-15 years of relevant Compliance experience.
• Strong knowledge of securities and banking regulations.
• Experience in drafting compliance policies, procedures alerts and manuals.
• Experience in developing and delivering topical, ad hoc and firm element training
• Strong interpersonal and influencing skills with the ability to establish credibility and strong partnerships with business partners
• Proven ability to communicate effectively at all levels both orally and in writing.
• Capable of operating comfortably within a complex organizational structure.
• Excellent business judgment and problem solving skills.
• A self-starter with the aptitude to initiate action and deliver results, adapt to change, make difficult decisions, and accept challenging assignments.
• Work effectively both in a team environment and independently.
• Manage complex tasks simultaneously in a deadline-intensive environment.
• Highly organized, detail-oriented, and energetic individual.
JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.