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Legal - Assistant General Counsel - Corporate and Investment Bank, US Equities/Broker-Dealer - ED

Req #: 180010809
Location: New York, NY, US
Job Category: Legal
Job Description:
JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.6 trillion and 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
The Legal Department of JPMorgan Chase is responsible for the provision of legal services to the Corporation and is organized by Practice Groups that conform to the organization of the Firm’s lines of business and corporate staff areas.  This structure encourages legal teams to communicate legal and regulatory changes to the businesses and staff areas and for the lines of business and staff areas to communicate business developments that have legal or regulatory implications to the legal teams in a timely manner.
The firm is seeking talented candidates for a position in the Legal Department as an Assistant General Counsel to serve as a Deputy Chief Legal Officer of JPMS, LLC, the firm’s major U.S. broker-dealer.  The responsibilities for that role includes broker-dealer governance, providing legal and regulatory advice across multiple lines of business operating within the CIB, GWM and CWM to the business and compliance.  Primarily focused on working with business, risk, compliance and finance partners, as well as the broker-dealer’s primary regulators, to assist in obtaining required approvals in order to conduct non-traditional brokerage activities, such as derivatives.  Provides primary legal support for the broker-dealer in its role as a Securities Based Swap Dealer and all of its activities in swaps and derivatives.
Candidates should possess, at a minimum,
  • Must have at least 10 years of experience practicing law post-JD.
  • At least 10 years’ experience at a law firm and/or in-house legal department at a large bank or other financial services company with demonstrated experience managing increasingly complex matters.
  • Experience in the investment management and securities brokerage industries, specifically including knowledge of the Securities Act, Securities Exchange Act, Investment Advisers Act of 1940, Investment Company Act and FINRA regulations.   
  • The ability to prioritize work, manage a large number of issues at one time, and interact with senior and executive management.
  • The ability to understand business needs and partner with the businesses and other areas of the Legal Department to create solutions.
  • Excellent oral and written communication skills.
  • Demonstrated leadership, problem solving and project management skills, judgment and character.
  • Ability to work with a diverse team of legal and other professionals.
  • JD or educational equivalent required. Attorney candidates must be in compliance with all relevant licensing requirements including the requirements of the jurisdiction where the role will be located.
  • All candidates for roles in the Legal department must successfully complete a conflicts of interest clearance review prior to commencement of employment. 
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