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Global Compliance Practices - Monitoring & Testing Strategic Tool Compliance Manager - Vice President

Req #: 170071300
Location: New York, NY, US
Job Category: Compliance
Job Description:
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
The Compliance function plays a critical role in the successful execution of the Firm’s Second Line of Defense responsibilities.  The Compliance function ensures the development and maintenance of a strong compliance culture by developing and maintaining a Compliance Program that identifies, measures and monitors compliance with applicable laws, rules and regulations that govern the Firm globally.  Compliance teams work closely with the 1st Line of Defense, Legal, Risk, and Audit functions to provide expertise on regulatory compliance matters, assess and measure compliance  risks, and monitor and test the adequacy of the firm's compliance control environment.
Global Compliance Practices is a Compliance function responsible for the design and governance of common standards and practices to be used across the global Compliance organization.  Such practices are the key components of the firm’s Global Compliance Program, and include Governance & Oversight, Regulatory Management, Policies, Training & Awareness, Monitoring and Testing, Issue Management, and Risk Assessment and Reporting.  This team, in partnership with Chief Compliance Officers, drives the design and continuous enhancement of the Global Compliance Program and related practices and framework. 
Key Responsibilities:
  • Lead strategic planning/requirements sessions geared towards defining the Monitoring & Testing roadmap and the end to end solution
  • Work with our stakeholders to understand and document business requirements and priorities,
  • Perform business process analysis to define the technology proposal/solutions.  
  • Work closely with our stakeholders to assess functional requirements and contribute a business or process perspective during design reviews.
  • Analyze impact of proposed solution, develop use cases to explain/demonstrate business requirements/specifications to IT team,
  • Lead UAT testing to ensure that requirements documentation can be easily translated into test scripts corresponding to business expectations, and ensure that the proper test scripts have been completed.
  • Facilitate implementation of new tool functionality through training sessions, demos, and the development of appropriate documentation.
  • Lead other key Monitoring and Testing strategic initiatives, as needed


  • B.A required 
  • Minimum 10 years of Compliance or Business Analysis experience.
  • Experience working in Compliance and Regulatory environment including testing & monitoring strongly preferred.
  • Strong analytical skills and writing skills and ability to understand complex business processes and experience developing detailed technical documentation (e.g., business requirements, business process flows and use cases for UAT)
  • Experience in leading UAT testing to ensure business requirements are operating as expected
  • Ability to be flexible, follow tight deadlines, track decision point,  organize and prioritize work.
  • Experience managing and developing a small team.
  • Strong organizational, interpersonal and communication (verbal, written and PowerPoint).  Serve as the liaison between the business, development team.  Interpret business needs and work with Technology to document in technology terms.
  • Proven ability to positively and creatively influence change and champion critical change initiatives; help others to anticipate and manage through change
  • Past experience building and maintaining key relationships across departments and functions, and establishing a culture of engagement


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