JPMorgan Compliance Risk Management Lead - Vice President 

United States, New York, New York 

622633579

As a Compliance Risk Management Lead Vice President covering the Futures and Options (F&O) and Futures Commission Merchant (FCM) lines of business (LOBs), you will provide regulatory compliance guidance and support to the FCM businesses, including F&O agency execution and Clearing along with adjacent functions such as operations, finance, control, technology, risk, on-boarding, product development, treasury and business management. You will also work closely with other LOBs across the firm on cross-product initiatives. Additionally, you will partner with other Compliance and Legal teams on assessing and measuring compliance and related risks and developing common standards and practices.

Job Responsibilities

• Assist in creating and preparing the FCM Annual Chief Compliance Officer Report.
• Create, update and maintain Compliance policies, bulletins and manuals on an ongoing basis.
• Provide day-to-day guidance on execution, and sales practices, registrations/licensing, supervisory duties, conflicts, regulatory reporting obligations, operational matters, and other general FCM regulatory requirements.
• Partner with colleagues in the Legal Department on rule interpretations, analyzing the impact of new regulations, and assist the FCM in implementing such rules and regulations.
• Review new and amended business and customer initiatives for compliance with regulatory requirements.
• Perform compliance reviews and risk assessments, advice on development and implementation of enhanced controls.
• Develop and conduct ad hoc, ongoing, and annual training.
• Establish and maintain open and effective relationships with regulators including the Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), exchanges, clearinghouses and other regulators.
• Assist in preparing information and responses to regulatory examinations, investigations, inquiries, and data and information requests.
• Participate in relevant industry association committees and initiatives.
• Attend business meetings and control forums.

Required qualifications, capabilities, and skills

• Experience in drafting compliance policies, bulletins, and manuals.
• Comprehensive understanding of exchanges, clearinghouses, and marketplaces.
• Strong interpersonal and influencing skills.
• Proven ability to communicate effectively at all levels both verbally and in writing.
• Capable of operating comfortably within a complex organizational structure.
• Excellent business judgment and problem-solving skills.
• Self-starter with the aptitude to initiate action, adapt to change, make difficult decisions, and accept challenging assignments.
• Work effectively both in a team environment and independently.
• Manage complex tasks simultaneously in a deadline-intensive, dynamic, fast-paced environment.
• Bachelor’s degree with 4+ years of experience.

Preferred qualifications, capabilities, and skills

• Experience with a law firm, regulator, investment bank, broker, or market participant.
• Masters’ or Law degree.