Compliance Risk Management Director - Executive Director
JPMorgan Chase & Co., New York, New York, us, 10261
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 Director within the Compliance, Conduct and Operational Risk (CCOR) organization, you will be tasked with overseeing our Global Rates and Rates Exotics business. Your role will involve daily interactions with senior-level business decision-makers and corporate functions in a dynamic, fast-paced environment.
Job Responsibilities
Provide real-time advice and challenge to business management and staff on regulatory and compliance issues
Conduct “second line” monitoring of businesses
Assist in preparing responses to regulatory inquiries and examinations from the SEC, FINRA, OCC, CFTC and other regulators
Coordinate with other control groups, such as Business Controls and Operational Risk on initiatives including surveillance, testing, and audits
Coordinate with Compliance colleagues covering functions such as the Control Room regarding information barrier crossings, Personal Account Dealing, Licensing and Registrations, Global Financial Crimes, etc.
Participate in various projects, such as those relating to the challenge of “first line” risk assessments
Draft and implement compliance policies and procedures
Monitor regulatory developments, participate in industry groups, and assist in implementing programs to comply with new regulations
Required qualifications, capabilities and skills
Bachelor’s degree, MBA or law degree, depending on work experience
10+ years of relevant experience in fixed income compliance
Strong knowledge of SEC, FINRA, OCC and CFTC rules relating to fixed income products, loans and derivatives
Strong interpersonal skills and excellent verbal and written communication skills
Ability to manage multiple initiatives simultaneously in a dynamic, fast-paced environment
Strong organizational and project management skills
Preferred qualifications, capabilities and skills
Familiarity with TRACE and/or information barriers a plus
Experience with US Treasury Auctions a plus
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As a Compliance Risk Management Director within the Compliance, Conduct and Operational Risk (CCOR) organization, you will be tasked with overseeing our Global Rates and Rates Exotics business. Your role will involve daily interactions with senior-level business decision-makers and corporate functions in a dynamic, fast-paced environment.
Job Responsibilities
Provide real-time advice and challenge to business management and staff on regulatory and compliance issues
Conduct “second line” monitoring of businesses
Assist in preparing responses to regulatory inquiries and examinations from the SEC, FINRA, OCC, CFTC and other regulators
Coordinate with other control groups, such as Business Controls and Operational Risk on initiatives including surveillance, testing, and audits
Coordinate with Compliance colleagues covering functions such as the Control Room regarding information barrier crossings, Personal Account Dealing, Licensing and Registrations, Global Financial Crimes, etc.
Participate in various projects, such as those relating to the challenge of “first line” risk assessments
Draft and implement compliance policies and procedures
Monitor regulatory developments, participate in industry groups, and assist in implementing programs to comply with new regulations
Required qualifications, capabilities and skills
Bachelor’s degree, MBA or law degree, depending on work experience
10+ years of relevant experience in fixed income compliance
Strong knowledge of SEC, FINRA, OCC and CFTC rules relating to fixed income products, loans and derivatives
Strong interpersonal skills and excellent verbal and written communication skills
Ability to manage multiple initiatives simultaneously in a dynamic, fast-paced environment
Strong organizational and project management skills
Preferred qualifications, capabilities and skills
Familiarity with TRACE and/or information barriers a plus
Experience with US Treasury Auctions a plus
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