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Corporate Compliance - Cross Border Compliance Officer - 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 the Compliance Program within J.P. Morgan Private Bank. This position will focus on the cross border activities of the US Private Bank. The role partners closely with regional Compliance teams in EMEA, Asia, and LatAm to meet all regulatory expectations, manage compliance risk, maintain global consistency, and deliver best in class support to the business. 

 

The successful candidate must demonstrate compliance knowledge of the requirements for financial institutions doing business with clients globally on a cross border basis.  This position also requires proven analytical and prioritization skills and ability to clearly communicate with senior management.

 
Key responsibilities include:
      • Provide regulatory compliance advice and support to front office and supervisory management servicing non-US and multijurisdictional clients, and to business management, control functions and monitoring teams;
      • Provide support for global cross border controls and framework development and maintenance, and Compliance ownership of and responsibility for policy, training and awareness and regulatory change management activities;
      • Coordinate with Compliance SMEs for other business groups to help ensure consistent regional and global implementation of the cross border controls;
      • Review and evaluate new business operating models and initiatives in USPB and consult regarding cross border risks and control requirements for same;
      • Liaise with and advise core Compliance (e.g., Monitoring and Testing, Surveillance) on program development and issue escalation;
      • Liaise with country and regional Compliance teams on licensing maintenance and regulatory interactions regarding the cross border activities of the USPB, and as needed, research, analyze, and prepare responses to regulator inquiries regarding the cross border business activities of the USPB.
      • Liaise with Legal team globally on matters relating to the development, interpretation or implementation of the rules of the road for cross border activities of the USPB.
      • Coordinate and liaise with USPB Front Office Sales Compliance to provide advisory support on Code of Conduct, US licensing and registration issues;

    Qualifications:

    • At least five years of experience in financial services industry in an Audit, Legal or Compliance role with experience relating to the cross border offering of private banking, securities and investment management services both into the US market and originating from the US market and for Americans Abroad;
    • Strong knowledge of brokerage sales practice issues across products (equities, options, complex products, private investments);
    • Law Degree/JD preferred but not required;
    • Excellent interpersonal, written and verbal communication skills required;
    • Self-starter and able to work independently, escalate appropriately and multitask successfully in a fast-paced and complex business environment;
    • Strong research skills, analytical skills and organizational capabilities
      Req #: 160024973
      Location: New York, NY US
      Job Category: Compliance
      Employment Type: Full Time
      Potential Referral Amount: 0 US Dollar (USD)

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