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Corporate Compliance - US Private Bank Fixed Income Compliance - Vice President - New York

Job Description

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at www.jpmorganchase.com.

 

Private Bank Compliance is responsible for the development and oversight of Compliance Program within J.P. Morgan Private Bank. This position will focus on Fixed Income Sales and Trading. The position will also support the development of new products and platforms and provide regulatory guidance to ensure compliance with relevant regulations.

 

The successful candidate must demonstrate compliance knowledge of securities and derivatives regulations and products knowledge. This position also requires proven analytical and prioritization skills and ability to clearly communicate with senior management.

 

Job Functions/Responsibilities:

·        Provide regulatory guidance to the Business and Control Partners on matters that impact the product and service platform of the Private Bank, including new regulations taxable and municipal bonds and new business initiatives

·        Document, track and follow-up on the development of new projects, collaborating and coordinating across different geographies, lines of business and control functions

·        Advise Business and Control Partners on day-to-day trading and policy/control inquiries

·         Draft new policies, procedures and the development of training protocols related to new initiatives or changes to existing platforms

·         Participate in internal and external audits, compliance tests and exams; assist in the review of draft responses to regulatory inquiries, including data requests, investigations and audits

·        Assist with core Compliance functions including marketing review, risk assessments and projects driven by the Corporate Compliance Team relative to Private Bank products and services

Qualifications

 

·        At least 5 years relevant work experience with a wealth management business within a broker-dealer

·        Knowledge of SEC, FINRA and MSRB securities regulations with focus on rules for fixed income sales and trading  

Strong communication skills – written and interpersonal

·        Demonstrated ability to effectively consult and coordinate to obtain desired results

·        Self-starter, organized and able to work independently

·        Strong research skills, analytical skills, and organizational capabilities

  • JD preferred but not required
Req #: 160015171
Location: New York, NY US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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