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Asset & Wealth Management – Alternative Investments Compliance Manager – Vice President

Req #: 170073704
Location: New York, NY, US
Job Category: Compliance
Job Description:
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 http://www.jpmorganchase.com/.
 
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 building and supporting the Mutual Fund’s service provider oversight program.

 

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 http://www.jpmorganchase.com/.

The Firm’s Compliance Department is looking for a qualified compliance officer and/or attorney to serve as a compliance manager in Wealth Management, supporting the global funds platform that provides pooled investment solutions to wealth management clients around the globe.

The successful candidate for this position will have strong knowledge of the applicable regulations around alternative investments, including the Investment Advisers Act of 1940 . The Compliance officer will be responsible for supporting the onboarding and structuring of third party and proprietary pooled investment vehicles; reviewing marketing materials; building and maintaining compliance programs; and managing compliance related issues.

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

Qualifications
• Attorney or compliance officer with a minimum 4 years of alternative investments compliance/legal experience at a major law firm, regulator, fund or financial institution
• Extensive knowledge of regulatory requirements and operations supporting the pooled investment vehicles such as private equity and hedge funds
• Excellent interpersonal, presentation and communication skills; ability to liaise with all levels of management
• Pro-active, motivated and enthusiastic
• Ability to work in a team environment
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