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JPMorgan Compliance Risk Management Lead - Vice President 
United States, New York, New York 
623286926

25.06.2024

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