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Compliance Manager, Investment Advisory Compliance - Executive Director

Job Description

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.


JPMorgan Chase is seeking talented candidates for positions within the Consumer Banking & Wealth Management (CBWM) Compliance Department. Compliance professionals with both operational and regulatory knowledge and experience will be expected to strategically partner with the business to ensure that our SEC Registered Investment Advisor practices, products and services are in compliance with both the letter and spirit of all applicable laws and regulations. Candidates will be expected to liaise with management, Legal, Risk, Controls and Audit teams to provide ongoing compliance advice on regulatory matters and compliance risk.  Candidates will be expected to be engaged in the front-end on the development, implementation and oversight of RIA compliance program including but not limited to new or updated policies, procedures, issues/action plans and training to ensure inclusion of necessary state, federal and regulatory compliance requirements. Candidates will be expected to identify compliance-related risks and measure the sufficiency of controls while providing advice on a routine basis to the line of business.




Responsibilities for the Investment Advisory Compliance Manager include supporting the compliance program as it relates to investment advisory product offering.


  • Develop and maintain RIA Compliance Program; manage RIA Compliance Team
  • Provide compliance support/advice to the Line of Business to facilitate appropriate and effective compliance with regulatory requirements and firm policy for sales and product initiatives;
  • Partner with the Line of Business, Risk, Legal, Audit and LOB in the development of products and services; provide innovative and well-thought out solutions to the LOB to proactively address compliance concerns;
  • Partner with corporate groups, compliance colleagues, subject matter experts and other lines of business on firmwide initiatives or workstreams;
  • Actively participate in business efforts/projects with regulatory impacts, and integrate compliance and regulatory requirements into line of business policies, procedures, controls and training;
  • Other projects and responsibilities, as deemed required.

  • 8+ years experience and/or knowledge of Securities and Exchange Commission 1940 Act compliance
  • Education: BA/BS (JD, MBA, regulatory experience a plus)
  • Experience developing and managing senior stakeholder relationships and delivering difficult messages
  • Ability to lead a team and motivate staff
  • Excellent interpersonal, written and verbal communication skills
  • Proven ability to oversee several tasks concurrently in an efficient and effective manner with a track record in creative and successful problem-solving
  • Excellent partnership and influencing skills and the ability to be effective in a matrix environment
  • Enthusiastic, self motivated, effective under pressure and willing to take personal responsibility/accountability
  • Working knowledge of Microsoft Office products including Excel, Access, Word, PowerPoint
Req #: 160031767
Location: New York, NY US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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