Firmwide Compliance Risk Assessment - Corporate Controls, Vice President

Firmwide Control Management (CM) ensures a robust control environment across the organization. We are seeking a new team member to support the execution of the Firmwide Compliance Risk Assessment (CRA). This high-profile role involves assessing key compliance risks across the firm and ensuring consistency in approach. Excellent communication and collaboration skills are required to influence a variety of stakeholders. The role is part of the JPMorgan Chase Corporate Control Management Organization, reporting to a Firmwide Compliance Risk Assessor.

As a Firmwide Compliance Risk Assessment Vice President within the JPMorgan Chase Corporate Control Management Organization, you will play a critical role in the execution of the Compliance Risk Assessment (CRA) activities across the firm. You will be involved in identifying and assessing key compliance risks, ensuring firmwide consistency in the implementation of the CRA standards, and contributing to a team that is accountable for the delivery and reporting of the CRAs. This role will require excellent communication, collaboration, and partnership skills as you will be engaging with a wide variety of stakeholders, often at a senior executive level. This is a high-profile role that offers the opportunity to make a significant impact on the firm's control environment.

Job Responsibilities: 

• Support execution of the global/horizontal Compliance Risk Assessment (CRA) including the framework, methodology, and execution across the firm
• Support the identification and assessment of JPMC’s compliance risks including ensuring firmwide consistency in the implementation of the CRA standards
• Participate in discussions, engage, and collaborate with the “Community of Practice” – accountable senior business executives, across lines of business, corporate functions, compliance, legal, and other coverage partners to calibrate and clearly articulate the risk levels within the firm’s compliance risk framework 
• Contribute to a team that is accountable for the delivery and reporting of the CRAs to the respective firmwide and LOB governance committees as well as the JPMC Board
• Support the implementation of enhancements to the CRA execution lifecycle 
• Participate on critical regulatory matters and meetings as required. Support management of Internal Audit and Compliance exams related to the CRA  and implementation of related issue response.
• Manage (1st Line of Defense) ad hoc risk and control analysis and report into key senior control managers leading the CRAs  
• Develop stakeholder relationships related to Control Management Programs (e.g. Office of Legal Obligations, Control and Operational Risk Evaluation) and 2nd Line Compliance and Operational Risk functions where there are significant dependencies
• Participate in and contribute to firmwide strategic initiatives to proactively enhance 1st line risk management through transformation, operating model assessment, and problem solving as required
   

Required Qualifications, Capabilities and Skills:

• 7 or more years of experience in financial services, preferably within Asset & Wealth Management (investment management, asset management, wealth management, and/or fiduciary services), across one or more of the following: control/risk management, compliance, audit, legal, product or process management, testing, and/or data analysis. 
• Working knowledge of regulatory and compliance requirements applicable to Asset & Wealth Management businesses, including the Investment Advisers Act of 1940, Investment Company Act of 1940, ERISA, SEC/FINRA rules, and fiduciary duty standards. 
• Familiarity with Asset & Wealth Management products and platforms (e.g., mutual funds, ETFs, separately managed accounts, alternatives/private funds, model portfolios, and fiduciary accounts) and the distribution channels that serve institutional, intermediary, and private banking clients. 
• Experience partnering with 2nd Line AWM Compliance and Operational Risk teams on key compliance program areas – e.g., marketing and communications review, trading and investment guideline oversight, personal account dealing, cross-border activity, suitability and KYC/AML, and conflicts of interest. 
• High level of professionalism, detail oriented, strong organizational, strong analytical, strong critical thinking and multi-tasking skills. 
• Strong presentation skills to influence complex topics and firm level decisions. 
• Results driven; synthesizes large volumes of information into clear, actionable recommendations. 
• Adaptable in dynamic environments; navigates and collaborates across complex, matrixed organizations. 
• Excellent communication, stakeholder management, and training skills; distills complex topics for senior leaders and cross functional partners and produces clear, high-quality materials. 
• Issue and event management expertise: identification, root cause analysis, remediation action planning, target state control design, sustainable closure, and lessons learned integration. 
• Understanding of regulatory and supervisory expectations for large, complex financial institutions. 
• Proactive problem solver who structures ambiguous work, balances pragmatism with rigor, drives resolution with senior stakeholders, and provides constructive challenge with follow through. 

Preferred Qualifications, Capabilities and Skills: 

Base Pay/Salary: Brooklyn,NY $118,750.00-$190,000.00; Jersey City,NJ $118,750.00-$190,000.00; Plano,TX $104,500.00-$165,000.00