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 Regulatory Management Lead- Vice President in the Asset & Wealth Management ("AWM") Regulatory Management Team, you will handle regulatory examinations and other engagements conducted by a variety of banking and securities regulators, including the Federal Reserve Bank of New York ("FRB"), the Office of the Comptroller of the Currency ("OCC"), the Federal Deposit Insurance Corporation ("FDIC"), the Securities and Exchange Commission ("SEC") and State regulators. You will focus on regulatory examinations by regulators, such as the FRB, OCC and SEC, of the firm's Asset Management and Global Private Bank businesses within the AWM Line of Business. The position is located in New York City. Some travel, including international, is required.
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Job Responsibilities
- Manage, coordinate and assist in the preparation for examinations conducted by regulators, either onsite or remotely, covering a variety of topics, businesses and functions related to AWM.
- Provide strategic advice and regular updates to management regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.
- Communicate extensively (orally and in writing) and develop effective relationships with regulators.
- Establish and develop effective relationships within Compliance and with the Business, Operations, Control Management, Regulatory Reporting, Technology, Risk, Legal and Internal Audit.
- Work with the relevant businesses and functions to obtain information / documentation to respond to regulatory requests.
- Analyze, digest and summarize information / documentation responsive to regulatory requests.
- Prepare business personnel for meetings with regulators.
- Identify mitigating facts and circumstances (as applicable) to rebut issues identified during examinations or other engagements.
- Prepare substantive written responses to regulatory requests and examination reports, which often require the ability to apply the applicable laws and regulations at issue to the facts of each matter.
- Communicate with the relevant businesses and functions regarding regulatory issues, findings by the regulators, and remediation related to those findings.
- Provide periodic examination status updates and contribute to internal reporting and tracking related to examinations and regulatory findings.
Required qualifications, capabilities, and skills
- 5+ years' experience at a large financial institution, regulator, or law firm performing legal, regulatory supervision/exam management, or regulatory enforcement functions
- BA/BS, or a similar degree, required.
- Ability to learn new areas while supporting them.
- Excellent interpersonal, leadership, organizational and communication (oral and written) skills.
- Client service skills - the candidate must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions.
- Strong analytical skills, attention to detail, solid judgment, and the ability to evaluate complex regulatory business issues.
- Project management skills and ability to manage multiple workstreams involving different partners and groups.
- Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills, along with the ability to handle multiple assignments at the same time.
- Ability to interact effectively with all levels of the organization and to work collaboratively on teams of varying size.
- A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the Firm.
- Proficient in Microsoft Word, Excel, PowerPoint and Teams.
Preferred qualifications, capabilities, and skills
- JD preferred, but not required.
- Experience working for a regulator desirable but not required.
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.