JPMorgan Compliance Risk Management Lead - Vice President 

United States, New York, New York 

349605813

Job Responsibilities

• Provide real-time advice and challenge to business management and staff on regulatory and compliance issues
• Conduct “second line” monitoring of businesses
• Assist in preparing responses to regulatory inquiries and examinations from the SEC, FINRA, OCC, CFTC and other regulators
• Coordinate with other control groups, such as Business Controls and Operational Risk on initiatives including surveillance, testing, and audits
• Coordinate with Compliance colleagues covering functions such as the Control Room regarding information barrier crossings, Personal Account Dealing, Licensing and Registrations, Global Financial Crimes, etc.
• Participate in various projects, such as those relating to the challenge of “first line” risk assessments
• Draft and implement compliance policies and procedures
• Monitor regulatory developments, participate in industry groups, and assist in implementing programs to comply with new regulations

Required qualifications, capabilities and skills

• Bachelor’s degree, MBA or law degree, depending on work experience
• 5+ years of relevant experience in financial services compliance
• Knowledge of SEC, FINRA, OCC and CFTC rules relating to fixed income products, loans and derivatives
• Strong interpersonal skills and excellent verbal and written communication skills
• Ability to manage multiple initiatives simultaneously in a dynamic, fast-paced environment
• Strong organizational and project management skills

Preferred qualifications, capabilities and skills

• TRACE reporting
• Swaps reporting
• FINRA, SEC, OCC, CFTC regulations
• US Treasury Auction regulations
• Primary Dealer requirements
• Government Sponsored Entities