Compliance Director, Investor Services
JPMorgan Chase - New York, NY

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Job Description


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.

Core Responsibilities:
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

Primary Location

US-NY-New York-1 CMP / 03425


Office of the General Counsel



Job Type



Day Job

Employee Status


Corporate Brand

JPMorgan Chase & Co.

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