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Full-time
bachelor degree
Health care coverage, Retirement savings plan, Backup childcare, Tuition reimbursement, Mental health support, Financial coaching
Posted 23d ago
~40 hrs/week
Responsibilities
The Compliance Risk Management Lead will act as a second line of defense to identify, assess, and mitigate compliance and conduct risks within the J.P. Morgan Wealth Management organization. They will advise internal stakeholders on regulatory requirements, manage projects, and collaborate with Legal and other control functions to ensure effective compliance framework implementation.
Requirements
Candidates must possess at least 6 years of experience in financial industry compliance, risk management, or legal roles within a large financial institution. Expertise in broker-dealer and investment adviser regulations, along with strong analytical, communication, and project management skills, is required.
Full job description
Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.
As a Compliance Risk Management Lead within Compliance, Conduct and Operational Risk (CCOR), you will be joining a team of Compliance professionals from a diverse range of backgrounds and experience as part of the Second Line of Defense (2LOD) who collectively ensure that the firm’s compliance framework is implemented and functions effectively. As a part of the firm's Compliance team, your will work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means you will also provide input on new business strategies, products, policies, procedures, training, operational processes, risk mitigation and control. You will focus on providing Compliance support for the firm’s J.P. Morgan Wealth Management (JPMWM) organization, specifically the J.P. Morgan Self-Directed Investing online brokerage platform and associated product areas. In this role, you will be highly visible to senior management and have the opportunity to work with key stakeholders including the business, Legal, Risk, Control Management, Technology, Internal Audit, Finance & Business Management and other control functions across the firm’s JPMWM organization and other areas in JPMorgan Chase. To be successful in this role, you will require knowledge of compliance within the financial industry, key compliance skills, familiarity with regulatory best practices along with an ability execute on a broad book of work including creation and oversight of compliance reviews.
Job Responsibilities
Advise the JPMWM business on compliance aspects of new and existing products and services including but not limited to the firm’s online investing platform, digital account opening, investment funding, margin and lending.
Identify compliance and conduct risks inherent within JPMWM
Act as independent second line of defense and challenge function to JPMWM, raising issues for the business to remediate through action plans and partnering with the business process owners in control design, control evaluation, and issue management of compliance and conduct risks.
Collaborate with Legal, regulatory engagement, the business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests.
Build and maintain strong client relationships with the business, Risk, Legal, Technology and business aligned Corporate Functions.
Manage projects independently necessary to support initiatives both within the CCOR and across the firm globally.
Draft and maintain Compliance policies, procedures and bulletins which may include addressing new business initiatives and technology enhancements, reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.
Assist the team in identifying and escalating issues through formal escalation channels and facilitating timely and effective resolutions.
Interact regularly with colleagues in other lines of business, control functions and other regions on regulatory matters, cross border questions, compliance risk assessments, project management and formulating consistent approaches on corporate regulatory policies.
Represent Compliance in governance forums and field compliance related questions from the JPMWM business on new initiatives and day-to-day activities.
Keeping abreast of industry trends and standards and anticipating areas of focus and attention of regulators.
Required qualifications, capabilities and skills
Minimum University/Bachelor’s Degree with at least 6+ years of financial industry experience as a regulator in a law firm or control function such as Compliance, risk management, an in-house attorney or audit in a large financial institution offering wealth management, private banking, asset management and institutional capital markets
Expertise in financial investment products and services offered by a broker-dealer and investment adviser (e.g. investments such as fixed income, equity, listed options, margin trading, etc) and related SEC, FINRA, MSRB and other SRO rules and regulations
Highly disciplined, ability to make independent decisions and work with limited supervision while exceling in a dynamic, demanding environment as a core team member.
Good communicator (written and oral) with strong analytical, problem solving and project management skills with successful track record of completion
Strong attention to detail and proven ability to identify potential process and control issues and develop and present solutions to key stakeholders
Strong interpersonal and influencing skills and ability to embrace and drive change
Ability to multi-task, prioritize and thrive in a fast-paced and evolving environment
Demonstrates familiarity with artificial intelligence (AI) and automation tools, and the ability to identify opportunities to apply them to enhance compliance processes and improve efficiency.
Preferred qualifications, capabilities and skills
Familiarity with Wealth Management (WM) and aspects of online brokerage platforms, digital innovation and tools and technology will be an advantage.
Demonstrates understanding of cryptocurrency and digital-asset markets, products, and evolving regulatory frameworks
Exposure to multiple risk disciplines (e.g., credit, investment, fiduciary, reputation) will be an advantage.
Experience with risk management, control management, capital markets structure, compliance and audit in the financial services industry
Self-motivated, driven and intellectually curious
JPMorganChase, 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 offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more. Additional details about total compensation and benefits will be provided during the hiring process.
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. We also make reasonable accommodations for applicants’ and employees’ religious practices and beliefs, as well as mental health or physical disability needs. Visit our FAQs for more information about requesting an accommodation.
JPMorgan Chase & Co. is an Equal Opportunity Employer, including Disability/Veterans
Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.
Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.
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.
We serve millions of customers and many of the world’s most prominent corporate, institutional, and government clients daily, managing assets and investments, offering business advice and strategies, and providing innovative banking solutions and services.
Social Media Terms and Conditions: https://bit.ly/JPMCSocialTerms
JPMorgan Chase & Co. is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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How much do Finance & Accounting jobs in Plano, TX pay?
Based on 374 listings with disclosed salaries, most finance & accounting jobs in Plano, TX pay between $55k–$205k per year. Individual offers vary with seniority, company size, and specialization.
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Which companies are hiring for Finance & Accounting roles in Plano, TX?
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