J.P. Morgan Wealth Management's Solutions Compliance Group seeks an experienced compliance professional to be part of innovative and talented team supporting Wealth Management's Solutions business. Compliance professionals with both operational and regulatory knowledge and experience in areas related to investment management programs will be expected to strategically partner with the business and other control functions to ensure that practices, controls, products and services are in compliance with all applicable laws and regulations.
Candidates will be expected to liaise with Business Management, Legal, Risk, Controls Management, Internal Audit and other Compliance teams to provide ongoing compliance advice on regulatory matters and compliance risk for both existing and the development of new products and services. The candidate will also lead the Team's effort in the execution of the policy maintenance and risk assessment programs, and provide compliance oversight and advice to the Firm's Portfolio Analysis Group (PAG) which is the performance reporting engine for the Wealth Management business. A strong knowledge of investment products including mutual funds, SMAs, ETFs, hedge funds, private equity, and structured products, and portfolio performance reporting 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 the line of business.
Key responsibilities include:
Advise the business and provide compliance support for new product launches and changes or enhancements made to existing products
Liaise with central compliance functions and lead the Team's efforts in executing its policy maintenance and risk management responsibilities
Provide compliance oversight and support to PAG and its corresponding oversight committee
Provide compliance support for operations and front office matters related to fiduciary product issues
Effectively collaborate with business partners, legal, risk and operational partners to understand operational and regulatory risks in a complex environment
Proactively evaluate controls maintained by a Bank Investment Manager and Registered Investment Adviser and execute on opportunities for enhancements
Administer monitoring, maintain policies, conduct compliance risk assessments, and provide regulatory, marketing review and testing support for assigned areas of responsibility
Keep abreast of industry trends and anticipate areas of focus and attention of regulators
Attorney or complianceofficer with a minimum 7 years of compliance/legal experience at a major lawfirm, regulator, fund or financial institution
A bachelor's degree
Strong knowledge ofinvestment products and services marketed to private bank and wealth managementclients, and related policies, procedures and control processes.
Extensive knowledge ofregulatory requirements and operations supporting investment advisers with aparticular 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
Proficient in Microsoft Office including Excel, Word, and PowerPoint
Internal Number: 6553456
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