Compliance- Wealth Management Solutions (Private Bank) Vice President
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Job Location:
Monthly Salary:
Posted on:
29 days ago
Vacancies:
1 Vacancy
Department:
Job Summary
Bring your expertise to JPMorgan Chase & Cos 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 retail communications approved by an appropriate registered principal per FINRA Rule 2210.
Required qualifications capabilities and skills
- Bachelors Degree
- 5 years previous investment product marketing experience as compliance/legal control risk or supervisory professional at a major law firm regulator fund or financial institution.
- Working knowledge of FINRA (2210/2220/2214) SEC (482 Investment Company Act Investment Advisers Act) OCC marketing and communication rules requirements and industry standards.
- Working knowledge of Wealth Management/Private Bank investment business its products and services across representatives digital social media paid media etc.
- Effective Communication Skills: Must possess excellent written and oral communications skills including the ability to conduct training and group presentations
- Must have strong interpersonal skills and be flexible in work style and be able to work appropriately with global stakeholders and colleagues at all levels.
- Commitment to precision and adherence to disciplined processes is essential
- Collaborative and Adaptable Team Player: Must thrive in a dynamic global team environment and embrace collaboration (with the ability to work independently)
- Demonstrates a passion for regulatory best practices and a desire to learn about investment concepts; able to work independently with good time management skills
- Must bring initiative energy intellectual curiosity and a strong dedication to achieving results
Preferred qualifications capabilities and skills
- FINRA Registered Principal Series 24 or other Principal FINRA licenses
- Experience using Python AI and other technology resources to design and implement compliance monitoring and testing
- MBA or professional certification (CFA CPA etc.) highly desirable
- Audit Regulatory and/or Testing experience desired
Required Experience:
Exec
Key Skills
- Change Management
- Financial Services
- Growing Experience
- Managed Care
- Management Experience
- Analysis Skills
- Senior Leadership
- Performance Management
- Process Management
- Leadership Experience
- negotiation
- Analytics
About Company
JPMorganChase, 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 ov ... View more
