CCOR - Private Bank Latin America / Global Family Group Compliance Vice President

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 the Private Bank Latin America (LatAm) / Global Family Group (GFG) Compliance Vice President in the Compliance for International Private Bank LatAm / GFG team, you will assists management and staff in fulfilling their duty of compliance with rules, regulations and internal policies.

You will provide a broad range of regulatory and compliance services to all areas of JPMorgan Chase worldwide, including compliance risk assessment, monitoring and testing, regulatory analysis of transactions and activities, formulation of regulatory and control policies, participation in new product development activities, staff training, maintaining regulatory relationships, etc.

You will provide Compliance services to the International Private Bank Offshore Latin America (LatAm) / Global Family Group (GFG) business operating out of the United States.

Job Responsibilities


* Advise on regulatory and Compliance topics and coordinate Compliance coverage with CCOR colleagues globally.


* Assess compliance risks and coordinate/execute compliance monitoring and testing.


* Develop Compliance policies to address corporate and regulatory requirements.


* Deliver uniform Compliance guidance on a variety of topics/risks including sales practices, cross-border, personal trading, Code of Conduct, and licensing & registration.


* Identify and investigate potential rule breaches, escalating issues and coordinating corrective actions with other control functions as needed


* Provide Compliance input and review new business initiatives, assessing compliance and regulatory risks and proactively identifying potential issues related to the new products/services.


* Liaise with internal auditors, global/regional Compliance management.


* Provide Compliance training and participate in staff awareness activities


* Provide regulatory advice and support to supervisors and registered representatives with reference to FINRA, SEC, and OCC rules and regulations.


* Assist on Regulatory exams/inquiries/sweeps in the region.

Required qualifications, capabilities, and skills


* Minimum of 5 years of previous experience and/or knowledge of general retail brokerage and Private Banking compliance.


* Knowledge of US laws and regulations that govern the securities and banking industry.


* Strong communications skills, both orally and in writing, and ability to successfully influence colleagues of all levels outside of direct reporting li...