Compliance- Wealth Management Solutions - Vice President at JPMC Candidate Experience page

Tampa, Florida, United States -

Full Time

Start Date

Immediate

Expiry Date

16 Jan, 26

Salary

0.0

Posted On

18 Oct, 25

Experience

5 year(s) or above

Remote Job

Yes

Telecommute

Yes

Sponsor Visa

Skills

Compliance, Risk Management, Marketing, Regulatory Knowledge, Communication Skills, Interpersonal Skills, Team Collaboration, Training Development, Research, Digital Marketing, Social Media, Investment Knowledge, Attention to Detail, Initiative, Time Management, Analytical Skills

Industry

Financial Services

Description

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 “retail communications” approved by an appropriate registered principal, per FINRA Rule 2210. Required qualifications, capabilities, and skills Bachelor’s 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 Adviser’s 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

Responsibilities

As a Compliance Risk Management Lead, you will support the marketing compliance program by providing oversight and assessment of compliance and regulatory risks related to marketing activities. You will interact with various stakeholders to ensure adherence to regulatory requirements and develop training and monitoring initiatives.