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Corporate Compliance - Global Wealth Management Alternative Investments and Advisory Programs Compliance Director - Executive Director/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.

 

The Firm’s Compliance Department is looking for a qualified compliance officer/attorney to serve as a compliance director in Global Wealth Management (“GWM”), supporting alternative investments and registered investment advisory activities.  


The successful candidate for this position will have strong knowledge of the federal securities laws, including the Investment Company Act of 1940 ("1940 Act") and the Investment Advisers Act of 1940 ("Advisers Act"). The Compliance officer will be responsible for building and maintaining compliance programs; managing compliance related issues; reviewing and drafting compliance policies, ADV content, risk assessments and oversight questionnaires; and developing strong relationships with senior business leaders within GWM with the objective of ensuring the maintenance of a robust control environment.

 
Key responsibilities include:
  • Effectively partnering with business partners, legal, risk and operational partners to understand operational and regulatory risks in a complex environment
  • Proactively evaluating controls maintained by registered investment adviser and executing on opportunities for enhancements
  • Advise the business and provide compliance support for new fund and product launches  
  • Keep abreast of industry trends and anticipate areas of focus and attention of regulators

    Qualifications:

    • Attorney or compliance officer with a minimum 7 years of fund compliance/legal experience at a major law firm, regulator, fund or financial institution 
    • Extensive knowledge of regulatory requirements and operations supporting investment advisers, mutual funds and advisory businesses
    • Excellent interpersonal, presentation and communication skills; ability to liaise with all levels of management
    • Proven track record in building good working relationships  
    • Strong attention to detail and analytical skills
    • Pro-active, motivated and enthusiastic
    • Ability to work in a team environment


      Req #: 160025133
      Location: New York, NY US
      Job Category: Compliance
      Employment Type: Full Time
      Potential Referral Amount: 0 US Dollar (USD)

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