JPMorgan Compliance Risk Management Lead - Vice President 

United States, New York, New York 

623286926

As a Vice President of Asset Management Compliance within the Line of Business (LOB, you will concentrate on offering regulatory advice to the business and supervising their activities.

Job Responsibilities

• Develop subject matter expertise in equities and fixed income securities and trading practices, as well as related rules & regulations; advise Product Groups (Portfolio Managers, Research Analysts and Traders) on trade-related issues; such matters include cross trading; trading with affiliates; Allocations/Reallocations, remediating trading errors, conflict matters, QIB, 144a, Reg 105 etc. and assessing regulatory changes and impact on business
• Conduct Compliance Training and draft Compliance Bulletins to educate business counterparts
• Handle trade alerts escalated from Trade Surveillance and reporting/escalation to the Market Conduct Violation Program
• Handle Info Barrier Issues particular to Traders and PMs (such as contact with JPMS Syndicate; inter affiliate info barriers)
• Manage Trade related policies and update related compliance desk procedures; respond to business of policy related matters; identify processes ripe for automation
• Understand business procedures, provide guidance as to critical controls
• Support CCO compliance program; drive testing and monitoring plans, complete risk assessment challenges, provide input to annual CCO report and assist with regulatory exams
• Assist with support of the Investment Specialist Teams including Info barrier issues, client due diligence meetings, RFPs, Client Agreements.
• Develop metrics and compliance updates to governance forums
• Develop understanding as to product strategies, and vehicles with an eye to assessing and identifying risks associated with product and operation support; work to find technology solutions
• Work closely with colleagues in CCOR to promote best practices and consistency across asset classes and regions; coordinate with functional team members in operational risk, legal, to provide effective challenge, guidance and advice; support and challenge governance framework

Required qualifications, capabilities, and skills:

• 2+ years of risk management, compliance or financial services experience
• Bachelor’s Degree with concentrations in Math, Finance, Statistics, Economics
• Strong written and verbal communication skills
• Data mining skills, specifically: SAS, SQL, Python, Excel, Microsoft Office, and database software applications
• Flexible and able to handle multiple tasks and a changing environment
• Independent decision-making skills
• Demonstrated experience in applying analytics to solve business problems efficiently and pragmatically through structured problem-solving approaches

Preferred qualifications, capabilities, and skills:

• Prior financial services experience in compliance is preferred
• MS, Law degree or MBA a plus