The Compliance Department of J.P. Morgan is seeking a highly motivated individual to lead a Compliance team supporting several products within JP Morgan's Investor Services Business, principally, the agency securities lending, broker dealer clearance, depositary receipts and collateral management products.
The role will focus on the ongoing evaluation of adherence to regulatory control processes across the various product areas and functions for these businesses. In addition, this role requires management of a team of 2 Vice Presidents. The role is primarily engaged with the US domestic region, but is required to ensure consistency of approach on a global basis. The position could involve some travel within the US and potentially on an international basis.
Lead a team of 2 compliance advisory professionals (VP level)
Advise business personnel on specific compliance and operational issues
Develop strong working relationships with front office personnel and operations management
Advise the businesses with respect to applicable banking rules and regulations, including providing information on regulatory changes and Dodd-Frank
Conduct periodic compliance risk assessments
Organize and Conduct periodic compliance training
Design a Compliance testing plan
Assist with internal and regulatory audits
Participate in meetings with regulators and regulatory proceedings
Assist in the review of draft responses to regulatory inquiries, including data requests, investigations and audits
Interface with internal and external counsel as necessary
Ability to lead and manage a team and take the point on issues
Superior interpersonal, analytical, problem solving and organizational skills
Strong judgment and strategic thinking
Ability to effectively communicate in writing and verbally at all levels
Strong knowledge of banking rules
Flexibility and organizational ability to simultaneously manage various issues and projects in a high-performance environment
In-depth understanding of global regulatory developments, rule-making and enforcement trends regarding the prime brokerage, correspondent clearing and financing businesses
Comprehensive understanding and expertise in global regulatory changes with respect to the businesses, especially those of the OCC
Law Degree/Juris Doctorate a plus
10 plus years relevant experience with regulator or investment bank or other relevant experience
Strong working understanding of OCC rules and regulations
Strong interpersonal and client skills
Ability to manage a team of 2
JPMorgan Chase is an Equal Opportunity and Affirmative Action Employer, M/F/D/V.
Treasury and Securities Services
US-NY-New York-1 CMP / 03425
Office of the General Counsel
JPMorgan Chase & Co.
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