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Corporate Compliance - Asset Management Compliance Practices - Regulatory Change Management - Vice President - NY

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.


Compliance plays a critical role in the successful execution of the firm's mission.  The Compliance function ensures a strong control culture by developing and maintaining program infrastructure that identifies, measures, and monitors compliance with applicable laws, regulations and rules that govern our business globally. Compliance teams work closely with business, Legal, Risk, and Audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risks, and monitor and test the adequacy of the firm's compliance control environment.


The Compliance Practices team within Asset Management (AM) Compliance has responsibility for the design, and management of a global framework for core AM Compliance practice areas across AM’s lines of business and regions, including practices around Regulatory Change Management.  


Position Description / Responsibilities:

This role, which will be part of the Regulatory Management team within AM Compliance Practices, provides the opportunity to partner with AM Compliance colleagues and stakeholders globally to implement and execute successful global regulatory change management processes within AM Compliance.


·              Develop, document and support execution of a global framework within AM Compliance for the monitoring of regulatory developments, as well as assessment of impact to the firm’s Compliance Program, including impact to Compliance function owned policies and procedures, training, and monitoring and testing activities;


·              Work in close collaboration with Legal and Compliance subject matter experts and other stakeholders for the Global Investment Management and Global Wealth Management teams across all regions to ensure execution of the regulatory change management framework for these lines of business;


·              Within this framework, account for required regional differences across North America, Asia, Continental Europe and Latin America geographies;


·              Drive execution of the AM Compliance Practices framework, including formulating procedures, compliance routines, facilitating working sessions, execution of project plans, and other activities;


·              Support AM Compliance department utilization of the firm’s Global Compliance regulatory change management repository and external technologies utilized for regulatory monitoring purposes;


·              Maintain excellent working relationships with key stakeholders.


    • 7+ years experience in a control environment (such as Compliance, Legal or Regulatory Risk Management functions) within a leading financial services firm or advisory firm in the industry.  JD preferred, but not required.
    • Knowledge of the regulatory framework and scope of regulatory obligations applicable to institutional and retail investment management offerings, as well as other securities products and banking services. 
    • Past experience developing or implementing programs that seek to address regulatory changes affecting current processes within an organization 
    • Past experience managing business projects with significant technology development or interfacing requirements through life cycle of projects
    • Proven ability to positively and creatively influence change and champion critical change initiatives; help others to anticipate and manage through change
    • Ability to adapt within a changing environment and work effectively with multiple stakeholders from various backgrounds
    • Professional maturity and confidence in expressing a point of view with senior management
    • Ability to prioritize and implement in a fast-paced environment
    • Outstanding communication skills, both verbal and written
    • Advanced Microsoft PowerPoint and Excel skills; knowledge of Visio and reporting software a plus
      Req #: 160030195
      Location: New York, NY US
      Job Category: Compliance
      Employment Type: Full Time
      Potential Referral Amount: 0 US Dollar (USD)

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