J.P. Morgan WealthManagement's Solutions Compliance Group seeks an experienced complianceprofessional to be part of an innovative and talented team supporting WealthManagement's Solutions business. Compliance professionals with bothoperational and regulatory knowledge and experience in areas related to discretionaryinvestment management programs will be expected to strategically partner with thebusiness to ensure that practices, controls, products and services are incompliance with all applicable laws and regulations. Candidates will be expected to liaise withBusiness Management, Legal, Risk, Discretionary and Controls Management, and InternalAudit teams to provide ongoing compliance advice on regulatory matters andcompliance risk for both existing and the development of new products andservices. A strong knowledge of investment products including mutualfunds, SMAs, ETFs, hedge funds, private equity, and structured products, andportfolio performance reporting are also critically important to therole. Candidates will be expected to identify compliance-related risksand measure the sufficiency of controls while providing advice on a routinebasis to the line of business.
Effectively partnering with business partners, legal, risk and operational partners to understand operational and regulatory risks in a complex environment
Proactively evaluating investment management controls and executing on opportunities for enhancements
Advise the business and provide compliance support for new fund and product launches
Keep abreast of industry trends and anticipate areas of focus and attention of regulators
Attorney or compliance officer with a minimum 7 years of compliance/legal experience at a major law firm, regulator, fund or financial institution
A bachelor's degree
Strong knowledge of investment products and services marketed to private bank and wealth management clients, and related policies, procedures and control processes
Extensive knowledge of regulatory requirements and operations supporting investment advisers with a particular focus on OCC and SEC regulations
Excellent interpersonal, presentation and communication skills; ability to liaise with all levels of management
Strong attention to detail and analytical skills
Ability to work in a team environment
Excellent written and oral communication skills
Internal Number: 6536912
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