JPMorgan Compliance Risk Management Director - Executive 

United States, New York, New York 

917979178

As a Compliance Risk Management Director within the Compliance, Conduct and Operational Risk (CCOR) organization, you will be the global Compliance Lead for one of the largest Lines of Business (LOB) in Asset Management. Your responsibilities will include executing core practices such as Governance and Oversight, Regulatory Management, Policies and Procedures, Training and Awareness, Monitoring and Testing, Issue Management, Risk Assessment and Reporting, and Risk Control Self-Assessment (RCSA). You will provide compliance coverage across various areas and build effective partnerships with Line of Business (LOB) and global/regional Compliance teams, including Internal Audit, Operational Risk, and other Control functions. An additional key function of your role will include showcasing expertise in Compliance with particular emphasis on Equities as the asset class and your understanding of regulatory and/or audit best practices.

In this high-visibility role, you will have significant interaction across the firm’s investment, legal, risk, regulatory functions and need to be a proactive, solutions-oriented compliance leader possessing a strong understanding of global asset management regulations and best practices.

Job Responsibilities

• Lead compliance oversight for JPMAM’s Global Equities business, ensuring adherence to SEC, Erisa, Reg 9, FCA, and other relevant regulatory requirements.
• Identify, assess, and mitigate compliance risks related to equity investments, trading practices, research, and portfolio management.
• Develop and enhance policies, procedures, and controls to ensure compliance with global regulatory requirements; manage the annual review of compliance policy manuals for US registered investment advisers and CCO annual report.
• Act as a key liaison with regulators, internal auditors, and external examiners, managing regulatory exams, inquiries, and remediation efforts.
• Provide compliance guidance to portfolio managers, traders, and research analysts on regulatory matters, including market abuse, best execution, conflicts of interest, insider trading, proxy voting, use of expert networks, and soft dollar commissions.
• Investigate and disposition alerts escalated by the surveillance groups related to equities trading and investment activities, including electronic communications, and trade surveillance; develop & conduct monitoring,
• Develop and deliver training programs for investment professionals to reinforce a strong compliance culture within Global Equities.
• Partner with Legal, Risk, Operations, and other Compliance teams to ensure a coordinated approach to regulatory compliance.
• Identify practical uses of AI to enhance compliance program.
• Effectively communicate with all levels of personnel, including Senior Management, Investment professionals, controls, risk, legal and compliance.
• Lead the Global Equities Compliance Program by coordinating support and oversight for the Global Equities platform, in collaboration with a comprehensive regional global compliance team.

Required qualifications, capabilities, and skills

• Bachelor’s degree required
• 12+ years of experience in asset management compliance
• Strong knowledge of SEC, NFA, CFTC, Reg 9, Erisa and an awareness of FCA and other global asset management regulations.
• Experience with equities trading compliance, including best execution, trade surveillance, and market abuse regulations.
• Proven ability to manage regulatory interactions, audits, and compliance testing programs.
• Strong leadership and stakeholder management skills, with experience influencing senior investment professionals.
• Ability to analyze complex regulatory requirements and translate them into practical business solutions.
• Excellent communication skills, with the ability to present compliance matters to senior management and regulators.

Preferred qualifications, capabilities, and skills

• JD, MBA, CPA, or CFA a plus.
• Equities experience preferred.