Vacancy caducado!
Candidates will be expected to liaise with Business Management, Legal, Risk, Controls Management, and other compliance and business teams to provide ongoing compliance advice on regulatory matters and compliance risk regarding investment management products and services. The candidate will also be responsible for related policies, risk assessments, monitoring and testing, training, critical challenge and monitoring new laws and regulations. A strong knowledge of managed account product and services, including mutual funds, SMAs, ETFs, hedge funds, and private equity, structured products, and related offering materials, on-boarding processes and marketing regulations are also critically important to the role. Candidates will be expected to identify compliance-related risks and measure the sufficiency of controls while providing advice on a routine basis to line of business and control partners.Key responsibilities include:Compliance co-lead to the Managed Solutions and Solutions Product Development teams providing advice, guidance and oversight on a broad array of laws, regulations and Compliance policies related to investment management products and services
Provide compliance support for operations, on-boarding and front office matters related to investment management product issues
Advise the business on integrating compliance requirements into line of business procedures, controls and training
Challenge the status quo by providing critical and analytical thinking and strong decision making capabilities to identify problems, propose creative solutions, and escalate as necessary
Conduct on-going risk assessment, administer monitoring, maintain Compliance policies, provide marketing and training review, and help design testing plan for assigned areas of responsibility
Develop management, stakeholder, and regulator presentations in order to communicate issues, recommendations, and status of initiatives
Proactively evaluate processes, controls and risks, identify concerns and control issues, advise on implementing improvements and ensure stakeholders develop and implement appropriate corrective actions
Work with the business, control partners and Legal to monitor and assess the impact to the business of new investment management related laws and regulations
Keep abreast of industry trends and anticipate areas of focus and attention of regulators
Qualifications:Attorney or compliance officer with a minimum 5 years of compliance/legal experience at a major law firm, regulator, fund or financial institution
A bachelor's degree
Knowledge and experience in Compliance, as well as familiarity with monitoring, testing, controls and risk assessment
Strong knowledge of investment management products and services marketed through a bank, investment adviser, or broker-dealer and related documentation, procedures and control processes
Strong knowledge of regulatory requirements and operations supporting investment advisers with a particular focus on OCC and SEC regulations
Excellent interpersonal, presentation, written and oral communication skills
Ability to liaise with all levels of management
Strong attention to detail and analytical skills
Ability to work both in a team environment and independently
Proficient in the Microsoft suite of products, including Excel, Word, and PowerPoint
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 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. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.The health and safety of our colleagues, candidates, clients and communities has been a top priority in light of the COVID-19 pandemic. JPMorgan Chase was awarded the "WELL Health-Safety Rating" for all of our 6,200 locations globally based on our operational policies, maintenance protocols, stakeholder engagement and emergency plans to address a post-COVID-19 environment.As a part of our commitment to health and safety, we have implemented various COVID-related health and safety requirements for our workforce. Employees are expected to follow the Firm's current COVID-19 or other infectious disease health and safety requirements, including local requirements. Requirements include sharing information including your vaccine card in the firm's vaccine record tool, and may include mask wearing. Requirements may change in the future with the evolving public health landscape. JPMorgan Chase will consider accommodation requests as required by applicable law.Equal Opportunity Employer/Disability/Veterans
Vacancy caducado!