Compliance Risk Management Lead; Investment Banking - 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 a Compliance Risk Management Lead Vice President within Compliance, Conduct and Operational Risk (CCOR), you will need to effectively partner with the Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions. You will need to possess required knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices.

You will work with the independent second line of defense and challenge function to the Equity Capital Markets and Equity Syndicate businesses with the Corporate & Investment Bank line of business (LOB). You will be required to closely interact with the Line of Business and global/regional and functional CCOR teams and key stakeholders, including Legal, Internal Audit, Finance & Business Management and other Control functions.

You will need to have knowledge and experience in Compliance, as well as familiarity with regulatory and/or audit best practices.

• Identify compliance and conduct risks inherent within product offerings such as M&A, IPOs, follow‑on/secondaries, block trades, buybacks, private placements and convertible securities offerings and corporate derivative structures.
• Build and maintain strong client relationships with front office personnel, business management, control managers, technology and business aligned Corporate Functions.
• Work proactively with the front office to maintain, enhance and develop an effective control environment and supervisory program.
• Work with business management to ensure the front office maintains effective written supervisory procedures.
• Assist the team with reporting, metrics, project management and conducting compliance risk assessments.
• Draft and maintain Compliance policies, procedures and bulletins reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.
• Design and deliver training to support compliance with applicable regulatory obligations, the firm’s compliance‑related policies and procedures and industry best practices.
• Collaborate with business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests.
• Managing independently projects necessary to support initiatives both within the CCOR and across the firm globally.
• Assist the team in identifying and escalating issues through formal escalation channels, and facilitating timely and effective resolutions.
• Interact with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies.

• Bachelor's degree required.
• 5+ years’ experience within an investment bank, law firm or regulator covering investment banking and equity capital markets instruments and products.
• Extensive knowledge of SRO and SEC rules and regulations relating to equity syndicate, sales, trading and capital markets.
• Ability to work both independently and as a core team member.
• Excellent research, analysis, written and interpersonal and communication skills.
• Detail‑oriented; possess a high‑level of attention to detail and quality for their work product.

JPMorgan

Chase, 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…