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CCOR - Compliance Manager - Vice President at JPMorgan Chase Bank, N.A.

Posted in General Business 30+ days ago.

Type: Full-Time
Location: New York, New York





Job Description:

JP Morgan Institutional Investments Inc. (JPMII) is a limited capacity, FINRA registered broker dealer. The business of JPMII crosses over several \"Asset Management\" and Bank lines of business including Institutional Asset Management, Global Liquidity, JPMorgan Invest Holdings, and JP Morgan Alternative Asset Management. JPMII serves as the placement agent for privately placed funds that are advised by JPMC investment advisory affiliates. The broker/dealer also engages in sales by actively soliciting institutional customers to invest in the money market and short-term bond funds through JPMC's Global Liquidity business, and conducts wholesaling of the JPMorgan Mutual Funds and ETF products to financial intermediaries. In addition JPMII also provides wholesale marketing support for JPMorgan Funds, JPMorgan Investment Trusts and New York's Advisor-Guided College Savings Program. JP Morgan Distribution Services, Inc. (JPMDS) is a limited capacity, FINRA registered broker dealer which serves as the distributor of JPMorgan Funds and provides accountholder and dealer servicing functions.

Responsibilities:

We currently have an opening in the JP Morgan Asset Management (JPMAM) Compliance Department for a Compliance Officer supporting both JPMII and JPMDS broker dealers. The candidate will also cover the Global Liquidity line of business whose product line includes domestic and international money market funds, as well as short-term fixed income funds and separately managed accounts. The Compliance Officer will support the distribution channels for JPMorgan Funds and ETFs, with responsibility for on-going independent assessment of the risk of the businesses, reviewing New Business Initiatives, developing broker dealer trainings, advising on regulatory developments, development of Compliance Policies and Bulletins and other responsibilities supporting the broker dealers' Chief Compliance Officer and Asset Management legal entities.

The responsible Compliance Officer will manage relationships with senior level business executives, legal, risk, operations, control and business management partners, capably managing multiple projects and task with the right urgency and agility to prioritize and re-prioritize as needed. The Compliance Officer will conduct potential Compliance policy violation investigations, plan and perform Compliance monitoring, and plan and direct testing and surveillance activities for the broker dealers and the Global Liquidity business group. The successful candidate will be curious, thoughtful, agile, open to professional growth and new responsibilities in the execution of the Compliance program for these business units and will be equally committed to delivering as an individual contributor and as a member of the team working across AM lines of business and CCOR.

Qualifications:


  • 7 -10 years broker-dealer or investment adviser or related Compliance, Legal, Audit, controls, sales or operational experience
  • Experience with monitoring and testing, investment management risk oversight, mutual fund distribution, hedge funds, or private placements is a plus.
JPMorgan 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





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