Job Description

Job Description

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 Vice President within the Compliance for International Private Bank LatAm / Global Family Group team, you will support both management and staff in adhering to rules, regulations, and internal policies. Your role will encompass a wide range of regulatory and compliance services for all areas of JPMorgan Chase globally. This includes compliance risk assessment, monitoring and testing, regulatory analysis of transactions and activities, development of regulatory and control policies, involvement in new product development activities, staff training, and maintaining regulatory relationships. Your primary focus will be providing 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 lines.
• Interpersonal skills to interact with and engage with senior management on difficult management decisions and key objectives.
• Attention to detail and excellent organizational and planning skills.

Preferred qualifications, capabilities, and skills

• Bachelor’s degree required; JD or MBA a plus.
• Strong product knowledge of brokerage, options, private investments, supervisory and marketing rules preferred.
• FINRA Series 7, 24, 63 preferred. 
• Fluent in Spanish and/or in Portuguese is preferred.

About Us

JPMorgan Chase & Co., 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 leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.

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 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 is an Equal Opportunity Employer, including Disability/Veterans

About the Team

Our professionals in our Corporate Functions cover a diverse range of areas from finance and risk to human resources and marketing. Our corporate teams are an essential part of our company, ensuring that we’re setting our businesses, clients, customers and employees up for success.

Our Compliance teams work globally across all lines of business to advise internal stakeholders on the impact of regulatory requirements and how to balance these with the firm’s needs. Their diverse mandate means they also provide input on new business strategies, product lines, policies, training, operational processes, risk mitigation and control.

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