Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Wealth Management Solutions Registered Investment Adviser (RIA) Compliance Lead - Vice President within Compliance, Conduct and Operational Risk (CCOR), you will provide regulatory compliance guidance and support to the business, leveraging your deep regulatory knowledge and hands-on experience across both discretionary and non-discretionary investment advisory programs. You will serve as a trusted compliance partner, working proactively to maintain, enhance, and develop an effective control environment. In addition, you will work closely with business leaders and Legal to ensure that all practices, controls, products, and services meet both the letter and spirit of applicable laws and regulations.

In this role, you'll bring your deep regulatory knowledge and hands-on experience in discretionary and non-discretionary investment management programs to serve as a trusted compliance partner to the business.

Job Responsibilities

• Serve as a go-to resource for the line of business, delivering regular compliance advice to help teams navigate the fiduciary regulatory landscape with confidence.
• Draft and reviewing Compliance policies, standards and bulletins to support awareness of requirements.
• Conduct required Securities and Exchange Commission (SEC) annual compliance review.
• Document and maintaining Compliance-owned procedures.
• Work with Compliance partners to provide the business clear, actionable compliance guidance on regulatory matters and emerging risks - for both existing offerings and new products and services in development.
• Evaluate investment management controls within JPM Wealth Management Solutions and drive opportunities for continuous improvement.
• Build strong partnerships with legal, risk, and operational partners to develop a thorough understanding of operational and regulatory risks within a complex environment.

Required Qualifications, Capabilities and Skills

• 10+ years of compliance experience in investment advisory
• Extensive knowledge of SEC regulations (e.g., Advisers Act, Compliance Rule), wrap-specific risks, and Form ADV disclosure and delivery requirements
• Pro-active, motivated and enthusiastic
• Strong leadership skills with experience in cross-functional teams and policy development
• Excellent analytical skills
• Experience using the MS Suite of products
• Ability to work both independently and as a core team member

JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. We also make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.

JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans

Base Pay/Salary
New York, NY $128, 250.00 - $195, 000.00 / year