Vice President - U.S. Communications Controls Group
Job Responsibilities
- Serve as a subject matter expert on asset management marketing and sales regulations, including, but not limited to, FINRA, SEC, OCC, and DOL requirements.
- Lead the design, implementation, and ongoing enhancement of internal controls and monitoring processes for marketing and communications.
- Provide proactive regulatory guidance and support to business partners across multiple lines of business, ensuring alignment with firm policies and regulatory expectations.
- Build and maintain strong working relationships with Audit, Legal/Compliance, Risk, and Controls Management to ensure a coordinated approach to risk management.
- Evaluate business activities, guidelines, and procedures to assess compliance risk and recommend solutions that balance regulatory requirements with business objectives.
- Develop and deliver training and educational programs to ensure employees understand and adhere to marketing regulations and industry best practices.
- Respond to regulatory inquiries, audits, and examinations, and support the resolution of issues as they arise.
- Stay current on industry trends, regulatory developments, and internal standards to continuously improve the effectiveness of the CCG.
Required Qualifications, Capabilities, and Skills
- Bachelor's degree required.
- Minimum of 8+ years of experience in the asset management industry, with a strong focus on marketing, communications, and regulatory compliance.
- Deep knowledge of U.S. asset management marketing regulations and industry best practices.
- Demonstrated leadership experience in a complex, matrixed organization.
- Exceptional communication skills, with the ability to influence and engage stakeholders at all levels.
- Strong analytical, critical-thinking, and problem-solving skills.
- High level of integrity, sound judgment, and commitment to professional ethics.
- Prioritized ability to manage multiple projects and priorities in a fast-paced environment.
- Proven ability to collaborate and work effectively in a team setting.
Preferred Qualifications, Capabilities, and Skills
- Series 7 and/or Series 24.
- Experience with asset management marketing regulation.
About Us
JPMorganChase, 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 offer a competitive total rewards package including base salary determined based on the role, experience, skill set and location. Those in eligible roles may receive commission-based pay and/or discretionary incentive compensation, awarded in recognition of individual achievements and contributions. We also offer a range of benefits and programs to meet employee needs, based on eligibility. These benefits include comprehensive health care coverage, on-site health and wellness centers, a 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.
About The Team
J.P. Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through our global network of investment professionals. Wealth Management helps individuals, families and foundations take a more intentional approach to their wealth or finances to better define, focus and realize their goals.