JPMorganChase
Compliance Risk Management Senior Officer - Wealth Management Solutions - Associate
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 Officer within the JPM Wealth Management team and the Compliance Conduct and Operational Risk (CCOR) organization, you will partner with trading desks, business leaders, and control functions to provide compliance coverage and advisory support for Wealth Management equities and fixed income trading activities. You will be responsible for identifying and assessing regulatory and compliance risks, advising on regulatory requirements, supporting the design and enhancement of controls, and contributing to the firm's overall compliance framework.
You will provide direct exposure to trading, market structure, distribution activities, and regulatory change management across Wealth Management businesses.
Job Responsibilities
- Provide compliance advisory coverage for Wealth Management equities and fixed income trading activities.
- Advise on regulatory requirements impacting trading businesses, including best execution, trade reporting, sales and trading conduct, and distribution of securities.
- Maintain and enhance policies, procedures, and standards governing trading-related activities.
- Participate in risk assessments and challenge the identification and management of regulatory and compliance risks.
- Identify control gaps, determine root causes of issues, and partner with stakeholders to develop and implement corrective actions.
- Support regulatory examinations, audits, inquiries, and remediation efforts.
- Partner with Surveillance, Operational Risk, Legal, and other control functions to promote a strong compliance culture and effective risk management framework.
- Conduct targeted reviews, ongoing monitoring activities, and special projects related to trading and market conduct compliance.
- Assist with implementation of regulatory developments, business initiatives, and new products impacting Wealth Management trading activities.
Required qualifications, capabilities and skills
- 3+ years of experience in trading Compliance, market regulation, risk management, or a related control function.
- Working knowledge of SEC, FINRA, and MSRB rules affecting securities trading and distribution activities.
- Familiarity with best execution, trade reporting, market conduct, and supervisory control frameworks.
- Strong analytical, problem-solving, and written communication skills.
- Ability to manage multiple priorities and build effective relationships across business and control functions.
- Bachelor's degree required.
Preferred qualifications, capabilities and skills
- Experience supporting equities and fixed income trading businesses.
- Experience interacting with regulators, auditors, and control partners.
- Knowledge of primary market activities, including securities distributions and related regulatory requirements.
- JD, MBA, or relevant industry certifications a plus.
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
JPMorganChase New York, New York, USA Office
270 Park Avenue, New York, NY, United States, 10017-2014
JPMorganChase New York, New York, USA Office
4 Metrotech Center, New York, NY, United States, 11201
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