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Corporate Compliance - VP, Compliance Manager - Regulatory Exams-Securities

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.
The Securities Exam Management team in CIB Compliance handles regulatory examinations conducted by a variety of securities regulators, including the SEC, FINRA, CME, NFA, and State regulators.  This position focuses on regulatory examinations by securities regulators of the Firm’s U.S. broker dealer institutional and wealth management businesses within the Corporate & Investment Bank, Global Wealth Management, and Chase Wealth Management.  The group and position is located in midtown New York.
Job Responsibilities
  • Provide strategic advice, communications and regular updates to management regarding the significant matters being handled, including, but not limited to, the timely escalatation and resolution of potential issues.
  • Communicate extensively (orally and in writing) with regulators.
  • Establish and develop effective relationships with Compliance, Line of Business management, Oversight and Controls, Legal and Internal Audit management.
  • Work with Compliance and business personnel to obtain relevant information/documentation to respond to regulatory requests.
  • Analyze, digest and summarize information / documentation responsive to regulatory requests.
  • Prepare business personnel for meetings with regulators.
  • Identify mitigating facts and circumstances (as applicable) to rebut issues identified during the examination or sweep.
  • Prepare substantial written responses to regulatory requests and Examination Reports.  These responses typically advocate on behalf of the Firm and require the ability to apply the facts of each matter to the applicable laws and regulations at issue.
  • Communicate with Compliance and business personnel regarding findings, remediation related to findings and regulatory issues.
  • Four-year degree required or equivalent experience
  • 7 or more years securities compliance or related securities experience required
  • Experience working at a firm or a regulator on regulatory examinations by the SEC, FINRA, and other securities regulators
  • JD preferred but not required
  • Excellent interpersonal, organizational and writing skills required.
  • High attention to detail with strong analytical and logical reasoning skills.
  • Knowledge of products and operations, and applicable securities rules and regulations.
  • Product knowledge should include equities, fixed income and options.
Req #: 160023775
Location: New York, NY US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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