JPMorganChase · 2 days ago
Compliance Risk Management Lead - Vice President
Jersey City, NJ
Full-time
Onsite
Mid Level
$128K/yr - $195K/yr
3+ years expJPMorgan Chase is a leading financial institution that offers innovative financial solutions globally. The Compliance Risk Management Lead will be responsible for overseeing the compliance, conduct, and operational risks for the firm's broker-dealer entities, ensuring effective implementation of compliance frameworks and engaging with various stakeholders to manage and anticipate risks.
Asset ManagementBankingFinancial Services
Responsibilities
Coordinate periodic reporting to the legal entity boards of directors as well as coordinate with colleagues in Legal and Compliance on industry developments and rulemaking and ensure industry developments are socialized appropriately in governance forums
Provide effective challenge and guidance on compliance risks and support lines of business through various interactions and forum engagements
Participate on complex projects, providing guidance, advice, and effective challenge
Coordinate and prepare the annual FINRA Compliance and Process Reports for the broker-dealer entities
Provide guidance and technical expertise that supports the design, implementation and oversight of the Compliance Program established to support a broker-dealer
Monitor and act upon regulatory developments relating to Compliance Risks and associated regulatory obligations
Perform Compliance Risk assessments and reporting to Senior Management and legal entity governance (e.g., review and challenge of process, controls and risk assessments and performing monitoring and testing activities)
Analyze compliance and operational risks to identify and make recommendations for process or control changes and system enhancements
Develop, maintain, and provide guidance on the applicability of broker-dealer policies and procedures
Partner with all three lines of defense to strengthen the compliance and operational risk environment of the firm using analytics and independent challenge(s)
Assist in regulatory reviews, audits, exams and inquiries; Maintain FINRA Gateway reporting capabilities for the legal entities
Qualification
Required
Bachelor's degree required and 3+ years of experience supporting a US broker dealer or front office business within a US broker dealer
Excellent writing and analytical skills
Adept in communicating clearly and across levels and functions within the organization
Ability to multi-task, strategize and prioritize in a fast-paced environment. Leverage subject matter expertise and data to make informed decisions
High proficiency in Microsoft Office Suite
Strong sense of accountability and ownership of responsibilities; diligent, and self-motivated
Intellectually curious, and comfortable challenging current practices
Ability to foster relationships at all levels within the coverage
Preferred
Regulatory experience is a plus
Benefits
Comprehensive health care coverage
On-site health and wellness centers
A retirement savings plan
Backup childcare
Tuition reimbursement
Mental health support
Financial coaching
Company
JPMorganChase
With a history tracing its roots to 1799 in New York City, JPMorganChase is one of the world's oldest, largest, and best-known financial institutions—carrying forth the innovative spirit of our heritage firms in global operations across 100 markets.
10001+ employees
H1B Sponsorship
JPMorganChase has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (3471)
2024 (3469)
2023 (3395)
2022 (3594)
2021 (2515)
2020 (2495)
Funding
Current Stage
Public CompanyTotal Funding
unknown1998-02-01IPO
Leadership Team
Allison Beer
CEO of Card Services and Connected Commerce
Dan Mendelson
CEO, Morgan Health
Recent News
Hartford Business Journal
2026-01-03
2025-12-19
2025-12-12
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