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Compliance Manager - Vice President

Job Description

Chase Wealth Management (CWM) is a division of Consumer & Community Banking, Chase Private Client (CPC) and Chase Investment Services (CIS) are units of CWM. CPC offers personalized banking products and services, as well as access to JP Morgan investment solutions, to its affluent client base. CIS offers brokerage and investment advisory solutions to its retail customer bank across 5,500 branches in 23 states.
The CWM Compliance team is looking for an individual to fill an exciting and challenging position as a Regional Compliance Officer within the CWM Compliance Team. The position provides an opportunity to be part of innovative and talented group of compliance professionals. The position requires knowledge of the legal and regulatory requirements for broker dealers doing business in the USA. In addition, the position requires strong interpersonal, presentation and organizational skills.

• This position requires a strong retail broker/dealer background and an understanding of mutual funds, annuities, equities, fixed income, and investment advisory products.
• Provide regulatory advice and support to Regional Supervisory Management, Market Directors, and Supervisory Managers in the Chase Wealth Management line of business. Strong knowledge of FINRA and SEC rules and regulations preferred.
• Conduct on-site branch office and OSJ visits and/or internal investigations.
• Provide regulatory advice, communicate firm policy and provide appropriate training to registered representatives regarding the Firm's sales practices, policies and procedures for the suite of Investment Solutions offered by CWM.
• Stay abreast of new rules and regulations, evaluating impact to the business and CWM Compliance Program which may result in new policies and procedures, Compliance Bulletins and training.
• Coordinate efforts with the Regional Compliance Officers nationally on all matters that impact CWM and its Compliance Program, escalating issues and updating management accordingly.
• Take the lead on specific projects to enhance the CWM Compliance Program and execute on those projects to completion.
• Work with Supervisory Principals and registered representatives on all regulatory issues and adherence to Firm policies and procedures that may arise, and resolving those matters accordingly which may include drafting Letters of Education or other written warnings or admonishments , training or reevaluating policies and procedures.
• Assist on Regulatory Exams/Inquiries/Sweeps in the region, coordinating with the central Regulatory Examinations Group, Legal, Senior Business Leaders, Operations and other Control Groups, and escalate issues and update management.
• Coordinating with the internal Branch Examination Team after the examination process and following up with Supervisory Management on any outstanding issue or deficiencies.
• Excellent verbal and written communication, as well as client management, reporting/metrics, interpersonal, and presentation skills.
• Perform other functions as requested.
• 7-10 years' previous experience and/or knowledge of general retail brokerage compliance.
• Excellent interpersonal and communications skills, both orally and in writing.
• Strong analytical skills preferred
• Strong presentation skills preferred
• Knowledge of SharePoint, PowerPoint and Excel preferred.
• Series 7, 24, 63, and 65 or 66 preferred.
Req #: 160031361
Location: New York, NY US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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