Compliance Risk Management Lead - Vice President

About the role

As a Compliance Risk Management Lead within Compliance, Conduct and Operational Risk (CCOR), you will join a diverse team of Compliance professionals in the Second Line of Defense (2LOD). Your role will focus on ensuring the firm's compliance framework is effectively implemented, working globally across all lines of business to advise internal stakeholders on regulatory requirements and their impact on the firm's needs. You will provide support for J.P. Morgan Wealth Management (JPMWM), specifically the J.P. Morgan Self-Directed Investing online brokerage platform and associated product areas.

This highly visible role involves collaboration with senior management and key stakeholders, including Legal, Risk, Control Management, Technology, Internal Audit, Finance, and Business Management across JPMWM and other areas of JPMorgan Chase.

Responsibilities

• Advise the JPMWM business on compliance aspects of new and existing products and services, including the firm's online investing platform, digital account opening, investment funding, margin, and lending.
• Identify compliance and conduct risks inherent within JPMWM.
• Act as an independent second line of defense and challenge function to JPMWM, raising issues for remediation through action plans and partnering with business process owners in control design, evaluation, and issue management.
• Collaborate with Legal, regulatory engagement, the business, and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other requests.
• Build and maintain strong client relationships with the business, Risk, Legal, Technology, and business-aligned Corporate Functions.
• Manage projects independently to support initiatives within CCOR and across the firm globally.
• Draft and maintain Compliance policies, procedures, and bulletins addressing new business initiatives, technology enhancements, and regulatory obligations.
• Assist in identifying and escalating issues through formal channels and facilitating timely resolutions.
• Interact regularly with colleagues in other lines of business, control functions, and regions on regulatory matters, cross-border questions, compliance risk assessments, and project management.
• Represent Compliance in governance forums and address compliance-related questions from the JPMWM business on new initiatives and day-to-day activities.
• Stay abreast of industry trends and standards, anticipating areas of regulatory focus.

Requirements

• Minimum University/Bachelor's Degree with at least 6+ years of financial industry experience as a regulator, in a law firm, or in a control function such as Compliance, risk management, in-house attorney, or audit within a large financial institution offering wealth management, private banking, asset management, and institutional capital markets.
• Expertise in financial investment products and services offered by a broker-dealer and investment adviser (e.g., fixed income, equity, listed options, margin trading) and related SEC, FINRA, MSRB, and other SRO rules and regulations.
• Highly disciplined with the ability to make independent decisions and work with limited supervision in a dynamic, demanding environment.
• Strong communication (written and oral), analytical, problem-solving, and project management skills with a proven track record of completion.
• Strong attention to detail and ability to identify potential process and control issues, developing and presenting solutions to key stakeholders.
• Strong interpersonal and influencing skills, with the ability to embrace and drive change.
• Ability to multi-task, prioritize, and thrive in a fast-paced and evolving environment.
• Familiarity with artificial intelligence (AI) and automation tools, and the ability to identify opportunities to apply them to enhance compliance processes and improve efficiency.

Preferred Qualifications

• Familiarity with Wealth Management (WM) and aspects of online brokerage platforms, digital innovation, and tools/technology.
• Understanding of cryptocurrency and digital-asset markets, products, and evolving regulatory frameworks.
• Exposure to multiple risk disciplines (e.g., credit, investment, fiduciary, reputation).
• Experience with risk management, control management, capital markets structure, compliance, and audit in the financial services industry.
• Self-motivated, driven, and intellectually curious.

Benefits

• Competitive total rewards package including base salary, commission-based pay, and discretionary incentive compensation (cash and/or forfeitable equity).
• Comprehensive health care coverage, on-site health and wellness centers.
• Retirement savings plan, backup childcare, tuition reimbursement.
• Mental health support, financial coaching, and more.

Additional details about total compensation and benefits will be provided during the hiring process.