JPMorgan Chase Corporate Compliance – Wealth Management Securities Compliance Manager – Vice President in New York, New York

JPMorgan 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 practices and employee development to ensure goals are delivered.

Responsibilities :

  • Provide regulatory advice and support to supervisors and registered representatives in branch offices for J.P. Morgan Securities. Strong knowledge of FINRA and SEC rules and regulations is imperative.

  • Effectively partnering with business partners, legal, risk and operational partners to understand operational and regulatory risks in a complex environment

  • Proactively evaluating controls maintained by a dual broker-dealer and RIA 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


  • 10-15 years previous experience and or knowledge of general retail brokerage and investment advisory compliance

  • Series 7, 24, 63/66 preferred

  • A bachelor's degree, required.

  • A master's degree in business or a law degree would be a plus

  • Strong knowledge of wealth management investment products and services, and related policies, procedures and control processes

  • Extensive knowledge of regulatory requirements and operations supporting broker-dealer and investment advisers

  • Excellent interpersonal, presentation and communication skills; ability to liaise with all levels of management

  • Proven track record in building good working relationships

  • Strong attention to detail and analytical skills

  • Pro-active, motivated and enthusiastic

  • Ability to work in a team environment

  • Excellent written and oral communication skills

  • Good knowledge of Microsoft Office products including Excel, Access, Word, PowerPoint.

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