Job Summary

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. CCOR is a second line of defense function that maintains oversight and responsible for the design and execution of the CCOR framework. 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 - Vice President within JPMorgan Chase & Co's Compliance, Conduct and Operational Risk (CCOR), you will be at the center of maintaining the resilience and strength of JPMorgan Chase. You will be part of the CCOR Asset & Wealth Management Marketing Compliance team ("MAC"), performing "independent" oversight, coverage, advice, and assessment of compliance and regulatory risks related to marketing activities, processes, and controls across J.P. Morgan Wealth Management businesses. Your role will involve advisory, monitoring/testing, risk assessment & oversight, and policies & education/training. This role provides an opportunity to grow with the firm, anticipate new and emerging risks, and use your expert judgement to solve challenges that impact our company, customers, and communities.

• Advise on strategic AWM marketing initiatives to help ensure business controls and procedures reasonably meet regulatory/industry standards-in addition to "ad hoc" guidance on specific marketing related matters;
• Provide ongoing compliance advice and guidance to line of business functions, marketing and control partners on a broad array of marketing policies and regulations (including communications-related FINRA, SEC, OCC and DOL rules).
• Perform Monitoring activities for key Wealth Management marketing initiatives (e.g. social media, digital, product disclosures) to ensure adequate business controls against policy, procedure and regulatory requirements.
• Own and/or create identify compliance-related risks for Wealth Management marketing practices, processes to measure the sufficiency of controls, and report any observations, findings and final results to key business partners and managers.
• Assist in the development and delivery of 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.
• Assist in development of monitoring program, including implementing and conducting various targeted reviews, to ensure that content, disclosures, and outlets for marketing & communications adhere to existing requirements/standards.
• 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 Legal, Risk and other Compliance teams 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.

• 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 investment business, its products and services across representatives, digital, social media, paid media, etc.
• Excellent interpersonal and communications skills.
• Team Player with the ability to work independently
• Proven track record in building good working relationships
• Strong attention to detail and analytical skills
• Pro-active, motivated and enthusiastic
• Good knowledge of Microsoft Office products including Excel, Access, Word, PowerPoint.
• Strong verbal, written and interpersonal skills and the ability to liaise with all levels of management