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Corporate Compliance - JP Morgan Securities Governance and Regulatory Manager – 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


The Compliance Department of JPMorgan Chase & Co is organized by Practice Groups that conform to the organization of the Firm’s lines of business (LOBs) and corporate staff areas, allowing the compliance staff to work closely with specific groups on a daily basis.  The structure provides the means for the compliance teams to communicate changes to the business and staff areas, and for the LOBs and staff areas to communicate business developments that have implications to the compliance teams in a timely manner.


JP Morgan Securities LLC is the primary broker-dealer of JPMorgan Chase & Co.  It encompasses both institutional and retail products and services and spans multiple LOBs

The Governance and Compliance Manager position offers a wide range of opportunities for interacting with Compliance colleagues across the firm, as well as Senior Compliance Management, Legal, Oversight & Control and Internal Audit.  The candidate will be expected to already have/quickly develop a working knowledge of the Firm’s Compliance and Controls programs, as well as the systems that support those programs.


This position is responsible for supporting the Deputy Chief Compliance Officer with respect to broker-dealer governance and preparation of communications to members of senior management, for keeping the Deputy Chief Compliance Officer, as well as the Chief Compliance Officer, aware of significant regulatory developments that impact the Firm’s Compliance framework, and for serving as a resource for various Compliance projects that have cross line of business applicability.  Additionally, this position serves as the point of contact for FINRA in connection with JPM-related inquiries received through the FINRA Senior Investors Helpline.

The candidate must have a track record of building strong and influential relationships across all levels of an organization.  The ability to work under tight deadlines and in a rapidly changing regulatory and business environment is an essential quality for success in this role.


Principal responsibilities include:

§  Assist with the preparation of Compliance presentations to the Board of Directors and other members of senior management, including the researching and drafting of written materials


§  Prepare written materials for Compliance governance meetings and coordinate with senior-level members of the Compliance Department regarding issues requiring follow-up and action


§  Monitor regulatory developments, including rule proposals, enforcement actions and regulatory guidance applicable to JPM’s business, and work with subject matter experts to determine whether enhancements to Compliance policies and procedures are required


§  Engage in the vetting and development of broker-dealer related Compliance policies and procedures, and associated training


§  Work with colleagues to drive Compliance-related projects; this involves identifying and tracking deliverables, assisting in execution of deliverables and keeping senior management informed of progress and contingencies. Notable projects include addressing examination priorities communicated by FINRA and the SEC, and preparation of the Annual Compliance Report required under FINRA rules


§  Communicate with FINRA analysts regarding JPM-related inquiries received through the Senior Investors Helpline; obtain information regarding prior responses to clients, account holdings and activities from line of business Compliance for purposes of addressing issues raised through the Helpline


§  Assist in the development and dissemination of metrics reflecting the work of the JPMS Compliance team


§  Manage a junior employee who will support the Governance and Regulatory Manager in these responsibilities


       *  6+ years of financial industry experience at a broker-dealer, bank, regulator or law firm

·    BA/BS required

  • Ability to review documentation and provide executive summary overviews
  • Strong written and verbal communication skills
  • Excellent time management and planning skills along with the ability to handle multiple assignments at the same time
  • Ability to establish, develop and maintain effective working relationships with regulators
  • Solid judgment along with the ability to evaluate complex legal and business issues
  • Action-oriented and effective listening skills
  • Project management skills
  • Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size
  • A relationship builder who can establish trust and credibility across the organization
  • Analytical and organized with a systematic thought process

·         Independent and self-motivated

·         Strong interpersonal and leadership skills

·         Proficient in Power point, Word, Excel and SharePoint 

Req #: 160006479
Location: New York, NY US
Job Category: Compliance
Employment Type: Full Time
Potential Referral Amount: 0 US Dollar (USD)

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