This team collaborates closely with senior stakeholders across Audit, Legal/Compliance, Risk, and Controls Management, and you will be responsible for driving the development, implementation, and monitoring of effective controls. The ideal candidate will have significant asset management industry experience, strong asset management marketing knowledge, and a proven ability to lead cross-functional initiatives in a fast-paced environment.
As a Vice President – U.S. Communications Controls Group within the U.S. Investment teams and the broader marketing organization, you will play a critical leadership role in supporting the U.S. Investment teams and the broader marketing organization by providing expert regulatory guidance and partnering with business leaders to ensure all marketing and communications activities meet the highest standards of regulatory compliance and internal control.
Job Responsibilities- Serve as a subject matter expert on asset management marketing and sales regulations, including, but not limited to, FINRA, SEC, OCC, and DOL requirements.
- Lead the design, implementation, and ongoing enhancement of internal controls and monitoring processes for marketing and communications.
- Provide proactive regulatory guidance and support to business partners across multiple lines of business, ensuring alignment with firm policies and regulatory expectations.
- Build and maintain strong working relationships with Audit, Legal/Compliance, Risk, and Controls Management to ensure a coordinated approach to risk management.
- Evaluate business activities, guidelines, and procedures to assess compliance risk and recommend solutions that balance regulatory requirements with business objectives.
- Develop and deliver training and educational programs to ensure employees understand and adhere to marketing regulations and industry best practices.
- Respond to regulatory inquiries, audits, and examinations, and support the resolution of issues as they arise.
- Stay current on industry trends, regulatory developments, and internal standards to continuously improve the effectiveness of the CCG.
- Bachelor’s degree required.
- Minimum of 8+ years of experience in the asset management industry, with a strong focus on marketing, communications, and regulatory compliance.
- Deep knowledge of U.S. asset management marketing regulations and industry best practices.
- Demonstrated leadership experience in a complex, matrixed organization.
- Exceptional communication skills, with the ability to influence and engage stakeholders at all levels.
- Strong analytical, critical-thinking, and problem-solving skills.
- High level of integrity, sound judgment, and commitment to professional ethics.
- Proven ability to manage multiple projects and priorities in a fast-paced environment.
- Excellent collaboration and teamwork skills, with a strategic mindset.
- Series 7 and/or Series 24.
- Experience with asset management marketing regulation.
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
J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.
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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