Compliance Conduct Operational Risk - AWM Fund Compliance - Assistant Vice President

Compliance, Conduct and Operational Risk – AWM Compliance – Assistant Vice President

Organization Description

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.

Employer Description

JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world’s most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set, and location. For those in eligible roles, we offer discretionary incentive compensation which may be awarded in recognition of firm performance and individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

JPMorgan Chase is an Equal Opportunity Employer, including Disability/Veterans

Job Description

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 Compliance Risk Management -  Assistant Vice President on the Compliance, Conduct and Operational Risk (CCOR) Team, you will effectively partner with Line of Business and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions. In this role, you may provide Compliance coverage for several areas, in addition to serving as the team’s subject matter expert for specific regulations in executing the following Core Practices: Governance and Oversight, Regulatory Management, Policies and Procedures, Training and Awareness, Monitoring and Testing, Issue Management, Risk Assessment and Reporting and Risk Control Self-Assessment.

Job Responsibilities 

• Perform analysis to identify major issues and actionable opportunities, design potential solutions and quantify bottom-line financial impact
• Develop management, stakeholder and regulator presentations in order to communicate issues, recommendations and status of initiatives
• Identify potential concerns and control issues, determine the root cause of issues and ensure stakeholders develop and implement appropriate corrective actions
• Conduct ongoing compliance monitoring activities and participate in special projects as required
• Challenge the status quo by providing critical and analytical thinking and strong decision making capabilities to identify problems, propose creative solutions and escalate as necessary
• Develop project plans and document and analyze business systems/processes

Required Qualifications, Capabilities and Skills 

• Masters/Bachelor's degree 
• 10+ years of relevant experience in Risk, Compliance or Controls 
• Familiarity with Regulatory and/or Audit best practices
• Strong analytical skills
• Exceptional written and oral executive-level communications skills
• Ability to partner with stakeholders on projects and confidently interact with business partners and offer credible challenges as necessary 
• Detail-oriented and strong attention to detail 
• Ability to work both independently and as a core team member
• Proficient in MS Suite of products

Preferred Qualifications, Capabilities and Skills 

• Knowledge of the regulations governing mutual funds, private funds (including 3c-7 funds)
• Experience with the Investment Company Act of 1940, the Investment Advisers Act of 1940 and other SEC rules
• Experience having regulatory interactions with the SEC, FINRA, and OCC is a plus
• Knowledge of fund guideline monitoring best practices
• Exceptional ability to “issue spot” and to credibly challenge our business partners
• Ability to present with confidence to senior leaders
• Experience with creating Board materials and other governance documents, including policies and procedures

Working Hours: 1:30 pm to 10:30 pm India Hours

J.P. Morgan is a global leader in financial services, providing strategic advice and products to the world’s most prominent corporations, governments, wealthy individuals and institutional investors. Our first-class business in a first-class way approach to serving clients drives everything we do. We strive to build trusted, long-term partnerships to help our clients achieve their business objectives.
   We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.