Compliance- Wealth Management Solutions - Vice President

Bring your expertise to JPMorgan Chase & Co's Compliance, Conduct and Operational Risk (CCOR), where you are at the center of keeping JPMorgan Chase resilient and strong.

You will help the firm grow its business and marketing responsibly, by anticipating new and emerging risks, and using your expert judgement to solve challenges that impact our company, customers and communities.

Our culture 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 the Asset & Wealth Management CCOR, you will support the marketing compliance program by providing diligent oversight, coverage, advice/expertise and assessment of compliance and regulatory risks with respect to marketing activities, processes and controls across J.P.

Morgan Private Bank businesses.

Be part of our centralized team as an expert in marketing-related obligations (e.g., FINRA 2210, SEC Rule 206, Investment Company/Advisers Act, OCC, MSRB, CFTC, FTC etc), with dedicated compliance coverage of marketing teams and collaboration with various stakeholders, including: Line of Business (LOB), Product, Supervision, Legal, Controls, Digital, Social Media, Risk/Compliance teams, etc.

Job responsibilities


* Interact with LOB employees and other stakeholders to provide compliance advice and guidance on marketing-related regulatory topics, industry developments and regulations (including FINRA, SEC, CFPB, FTC etc.).


* Conduct compliance assessment of strategic PB marketing initiatives to help ensure business controls and procedures reasonably meet internal compliance and regulatory requirements/standards.


* Develop and perform Reviews/Monitoring for Private Bank marketing initiatives (e.g.

social media, digital, disclosures) to ensure adequate business controls adhere to existing policies, procedures based on regulatory requirements/standards.


* Identify compliance-related risks for Private Bank marketing practices, processes to measure the sufficiency of controls, and report any observations, findings and final results to key business, control partners and management.


* Develop and deliver marketing-related education, training and compliance bulletins for targeted groups (e.g.

Digital, Marketing, Supervisors, Front-office, Sales and Trading Teams, etc.)


* Identify compliance and regulatory requirements/standards/trends to ensure they are properly reflected in business policies, procedures, controls and training.


* Conduct industry and regulatory research on best practices and standards that relate to new business initiatives (e.g.

Digital, Social Media, and other marketing initiatives).


* Coordinate with Marketing Controls, Legal, and other Compliance teams across regions to help ensure that the marketing practices and guidance remains consistent across lines of businesses.


* Process FINRA Advertising Department filings via.

"AREF" system for all applicable business ...