Job Responsibilities

1. Primarily responsible for overseeing and management of a group of individuals, providing guidance, work allocation, review/distribution of compliance reporting, and performance reviews. Also key contributor to team structure and strategic initiatives.

2. Lead project management efforts and large scale client relationships; ability to manage large and complex 40 Act and Pension and/or Advisor client requests thoughtfully and independently.

3. Also responsible for oversight and strategic planning for the department's post-trade investment guideline reporting process and report distribution. Familiarity with trade order management systems (i.e., Charles River or related system) and the compliance functionality within such systems is ideal. Will be subject matter expert of the internal compliance system and its processes.

4. Provide compliance-related guidance and regulatory expertise to large clients, by review and interpretation of client mandates; present product capabilities and regulatory impacts to clients and prospective clients.

5. Partner with internal functional groups and clients in implementation and oversight of product enhancements and technology improvements.

6. Expected to identify gaps in information, and analyze to resolve problems and issues; acts as a lead point person for complex issues.

Qualifications

1. Bachelor's Degree in Finance, Accounting, or related field or equal experience

2. 8-15 years of related industry experience, either in Trade Compliance Monitoring, Investment

Operations, or Client Service

3. Client Service/Client Management skills, for large and complex Asset Managers / Owners and/or

Investment Advisors, preferred

4. Solid understanding of Fixed Income and Equity markets

5. Strong knowledge of the Investment Company Act of 1940, Investment Advisers Act of

1940, and/or Dodd-Frank and other Derivatives regulations, along with an overall

understanding of regulations relating to pension plans, adviser and/or mutual funds

6. Current or previous management of staff, at various levels

7. Must have effective verbal and written communication skills; ability to communicate with

all levels inside and outside an organization.

Other Ideal Qualifications:

1. At least 10 years of compliance testing experience with the Investment Company Act of

1940 and/or Investment Advisers Act of 1940

2. Experience with portfolio management compliance systems

3. Experience advising management and clients of issues and recommending corrective

actions

4. Strong financial instrument knowledge, including DerivativesJPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.

Equal Opportunity Employer/Disability/Veterans