JPMorgan Chase Corporate Compliance – Mutual Funds Compliance Manager – Vice President in New York, New York

JP Morgan Chase

JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, JPMorgan Chase & Co. serves millions of consumers in the United States and many of the world's most prominent corporate, institutional and government clients under its J.P. Morgan and Chase brands. Information about JPMorgan Chase & Co. is available at .

Our Compliance Function

With a diverse team of Compliance professionals supporting all areas of our business around the globe, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered.

J.P. Morgan Wealth Management’s Alternative Investments & Advisory Compliance Group seeks an experienced Compliance professional to assist the Chief Compliance Officer in administering the compliance program for the investment adviser and supporting the ongoing management of a new mutual fund complex (the “Mutual Funds”). Specifically, this role is responsible for providing guidance to the business on all compliance and regulatory matters impacting the Mutual Funds and ensuring effective monitoring of the Mutual Funds’ activities.

Primary Responsibilities include:

• Developing the 38a-1 compliance program for the Mutual Funds

• Supporting all Compliance reporting requirements for the Mutual Funds

• Leading the continuous development and implementation of the Compliance program applicable to the Mutual Funds, including the development of new policies, procedures and controls, as necessary

• Reporting Compliance matters to the Funds’ applicable governance forums, such as the Mutual Funds Board of Trustees

• Offering insight and analysis for implementation of proposed and new regulations, as well as industry developments affecting the Mutual Funds

• Performing selected monitoring of Mutual Fund compliance with applicable rules and regulation, including exemptive orders

• Assisting in the implementation of controls to address regulatory and internal findings related to the Mutual Funds

• Assisting with the review and oversight of third-party providers to the Mutual Funds


  • Bachelor’s degree required.

  • Knowledge of federal securities laws, including the Investment Company Act and the Investment Advisers Act

  • Wider knowledge of banking regulation and experience with banking regulators a plus (particularly, the SEC, OCC and FRB)

  • Excellent communication skills and ability to interact confidently with senior management and boards

  • Superior ability to manage multiple tasks simultaneously

  • Strong quantitative, critical thinking and analytical skills

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.