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Global Compliance Regulatory Strategy - VP

Req #: 180036798
Location: New York, NY, US
Job Category: Compliance
Job Description:
Regulatory Strategy
Compliance’s Regulatory Strategy Group supervises the end-to-end relationships between the firm and its global regulators. The group is the primary point of contact for U.S. supervisory agencies; oversees management of all Compliance examinations, such as continuous monitoring; and has responsibility for overseeing compliance-related matters for JPMC Bank NA (JPMCB) and Chase USA, NA (CUSA) legal entities, including the periodic compliance risk appetite analysis.  Other key priorities include:
 
  • Establish and maintain a well-understood and consistent framework for firmwide regulatory engagement;
 
  • Oversee the execution model for regulatory engagements in order to manage relationships with the firm’s regulators globally;
 
  • Provide the board of directors and senior management with timely reports and analysis on regulatory engagements, outstanding issues, and emerging trends;
 
  • Manage the examinations of the firm’s Compliance function, including regulatory reviews of Global Financial Crimes Compliance (GFCC), and other cross line of business and functional areas;
 
  • Effectively work with the line of businesses and corporate functions globally to achieve timely and sustainable resolution of regulatory issues;
 
  • Support the lines of business and corporate functions on all regulatory matters and communications;
 
  • Prepare the Compliance Risk Assessments and annual compliance plans for JPMC and CUSA; and
 
  • Conduct the quarterly compliance risk appetite analysis and report on the results.
 

Principal Responsibilities

  • Assist with day to day management of the Firmwide Regulatory Engagement Model include maintenance of the Firmwide Standards
  • Oversee the Quality Assurance process governed by the Regulatory Engagement Model
  • Help maintain an active dialogue and enhance JPMC’s relationship with its regulators.
  • Drive communication across Lines of Business (LOBs), Functions and Regions on regulatory matters, facilitating impact assessment and information sharing as appropriate
  • Develop a cohesive and effective partnership with Senior Business leaders, LOB Compliance teams, Oversight and Controls, Legal, Audit, Operations, and individual business units to respond to examination matters.
  • Prepare substantial written responses to examination inquiries and Supervisory Letters, advocating when necessary on behalf of JPMC by applying the facts of each matter to the applicable laws or regulations at issue
  • Assist the Compliance/Cross Line of Business and Functions REM on day to day exam management processes for relevant exams, including determining the best ways to handle requests from examiners and providing full and relevant context to prevent undue concerns. 
  • Provide strategic, clear, and regular updates and advice to management regarding significant matters, including without limitation potential issues requiring timely escalation and resolution
  • Influence and drive change in functional areas outside of the Regulatory Exam Manager’s direct control.
  • Partner with other Regulatory Exam Managers to identify and analyze trends and remediation plans that are identified across multiple exams and then work with business and other partners to ensure they are appropriately and consistently addressed.
  • Ensure periodic and adhoc management reporting is completed timely and accurately to review with the Regulatory Strategy Team and other audiences as appropriate.
  • Participate in mentoring and training as requested for Regulatory Engagement Managers.
  • Perform adhoc project work as identified.

Knowledge- Skills

  • Strong Management abilities.
  • Solid judgment along with the ability to evaluate complex legal and business issues.
  • Strong working knowledge of compliance, audit, risk and operational management concepts and the ability to understand and interpret the impact of policy and procedural changes, as well as identify and convey potential problem areas.
  • Action-oriented and effective listening skills.
  • Excellent time management and planning skills along with the ability to handle multiple assignments at the same time.
  • Ability to review documentation and provide executive summary overviews and trending analysis.
  • Project management skills.
  • Must be able to interact effectively with management.
  • A relationship builder, who can establish trust and credibility across the organization.
  • Analytical and organized with a systematic thought process.
  • Ability to establish, develop and maintain effective working relationships with examiners at the appropriate level of the investor/regulator supported.
 

Requirements

  • Bachelor’s degree (BS / BA) required
  • Strong and effective communication skills to develop relationships between business groups and external examination teams. 
  • Minimum of 10-15 years of experience in Compliance, Risk or Audit.
  • Working knowledge of Federal regulatory requirements.
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