JPMorgan Compliance Risk Management Lead Wealth 

United States, New York, New York 

309452301

As a Compliance, Conduct and Operational Risk (CCOR) Vice President within the JPM Wealth Management team, you will partner effectively with the Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions. You will leverage your knowledge and experience in Compliance as well as have a familiarity with regulatory best practices. Additionally, as a member of the Compliance team you will support JPM Wealth Management trading desks inclusive of executing client orders in primary and secondary markets, develop structured investments and identify investment opportunities for JPM Wealth Management clients. Your role will focus on fixed income trading Compliance, including taxable and municipal bonds.

Job Responsibilities

• Establish policies and standards which set forth the requirements for fixed income trading regarding the management and oversight over compliance risks
• Identify potential concerns and control issues, determine the root cause of issues and ensure stakeholders develop and implement appropriate corrective actions
• Participate in the risk assessment process and provide oversight and challenge to the identification of risks on activities conducted by the trading desks
• Conduct ongoing compliance monitoring activities and participate in special projects as required
• Provide regulatory advice, guidance and training to the trading desks
• Participate in internal and external examinations and audits

Required qualifications, capabilities, and skills

• Working knowledge of SEC, FINRA and MSRB rules relevant to fixed income trading with focus on regulatory trade reporting, best execution, distribution of fixed income new issues, and SEC Market Access rule
• 5+ years of relevant experience
• Possess strong written and oral executive-level communications skills
• Excellent analytical skills
• Bachelor's degree required
• Ability to work both independently and as a core team member

Preferred qualifications, capabilities, and skills

• JD preferred