JPMorgan Compliance Risk Management Lead - Vice President 

United States, Florida, Tampa 

175058026

Job Responsibilities

• Advise on strategic AWM marketing initiatives to help ensure business controls and procedures reasonably meet regulatory/industry standards—in addition to “ad hoc” guidance on specific marketing related matters;
• Provide ongoing compliance advice and guidance to line of business functions, marketing and control partners on a broad array of marketing policies and regulations (including communications-related FINRA, SEC, OCC and DOL rules).
• Perform Monitoring activities for key Wealth Management marketing initiatives (e.g. social media, digital, product disclosures) to ensure adequate business controls against policy, procedure and regulatory requirements.
• Own and/or create identify compliance-related risks for Wealth Management marketing practices, processes to measure the sufficiency of controls, and report any observations, findings and final results to key business partners and managers.
• Assist in the development and delivery of marketing-related education, training and compliance bulletins for targeted groups (e.g. Digital, Marketing, Supervisors, Front-office, Sales and Trading Teams, etc.)
• Identify compliance and regulatory requirements/standards/trends to ensure they are properly reflected in business policies, procedures, controls and training.
• Assist in development of monitoring program, including implementing and conducting various targeted reviews, to ensure that content, disclosures, and outlets for marketing & communications adhere to existing requirements/standards.
• Conduct industry and regulatory research on best practices and standards that relate to new business initiatives (e.g. Digital, Social Media, and other marketing initiatives).
• Coordinate with Legal, Risk and other Compliance teams to help ensure that the marketing practices and guidance remains consistent across lines of businesses.
• Process FINRA Advertising Department filings via. “AREF” system for all applicable business “retail communications” approved by an appropriate registered principal, per FINRA Rule 2210.

Required qualifications, capabilities, and skills

• 5+ years previous investment product marketing experience as compliance/legal, control, risk or supervisory professional at a major law firm, regulator, fund or financial institution.
• Working knowledge of FINRA (2210/2220/2214), SEC (482, Investment Company Act, Investment Adviser’s Act) OCC marketing and communication rules, requirements and industry standards.
• Working knowledge of Wealth Management investment business, its products and services across representatives, digital, social media, paid media, etc.
• Excellent interpersonal and communications skills.
• Team Player with the ability to work independently
• Proven track record in building good working relationships
• Strong attention to detail and analytical skills
• Pro-active, motivated and enthusiastic
• Good knowledge of Microsoft Office products including Excel, Access, Word, PowerPoint.
• Strong verbal, written and interpersonal skills and the ability to liaise with all levels of management