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Global Compliance - Firmwide Fiduciary Team - Risk Assessment, Testing & Monitoring Lead - Vice President

Req #: 170092331
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


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.

The cross-LOB Fiduciary Compliance team is responsible for centrally advising on and supporting JPMC’s Fiduciary-related activities across Lines of Business (LOBs), including in the Wealth Management, Asset Management, Corporate and Investment Bank, and Chase Wealth Management businesses. The team is looking for a candidate to help develop and maintain the Compliance Program (seven core practices: Governance & Oversight, Regulatory Management, Policies and Procedures, Training & Awareness, Monitoring & Testing, Issue Management and Risk Assessment & Reporting) for Fiduciary activities across JPMC’s lines of business, with a focus on Risk Assessment, Monitoring, Testing, and Issue Management. The central Fiduciary Compliance team partners closely with the Compliance LOB Fiduciary Advisors to drive consistency across the Program. The team supports the Head of Firmwide Fiduciary and Conflicts of Interest Compliance, and the Chief Compliance Officer of Asset & Wealth Management.

Key Responsibilities:
  • Lead the firmwide Compliance Fiduciary programs approach to Compliance Risk Assessment, Monitoring, and Testing
  • Manage and continually improve the Compliance Risk Assessment for fiduciary
  • Manage the annual cross-LOB fiduciary Monitoring and Testing planning process
  • Develop and/ or support Fiduciary Compliance test planning, and scoping/executing fiduciary monitoring activities
  • Support responding to requests from US banking regulators related to the Fiduciary program
  • Develop and help provide fiduciary program briefings to Senior Management
  • Manage one or more junior resources, including employee development and mentoring
  • Ensure holistic and consistent approach (where appropriate) to initiatives across the Compliance Fiduciary organization
Evaluation Criteria

The successful candidate would have a proven track record of driving change, and the ability to influence, implement best practices, set priorities, plan, facilitate collaboration, direct activities and track accountability. The candidate would have expertise in the effective presentation of data and analysis results and the ability to proactively communicate status and updates through management updates and presentations. The expectation is that the candidate would operate in a complex, fast-paced environment and deliver results. The candidate should also be able to work independently, take initiative and think strategically to solve problems.

  • Experience and/ or knowledge of Fiduciary regulation
  • Experience and/ or knowledge of Compliance Risk Assessment, Compliance testing, and/or Compliance monitoring
  • Experience in strategic initiatives, delivering results and change management
  • Strong, clear communication style – including very strong writing skills
  • Ability to identify root cause amongst the noise
  • Ability to connect the dots on various efforts to efficiently and effectively implement program
  • Independent thinker with strong analytical and problem solving skills
  • Adept in working with people at all levels in the organization and with various backgrounds
  • Strong project management skills with focus on execution
  • Ability to analyze and mine large data sets
  • Advanced PowerPoint and Excel skills
  • A high level of attention to detail
  • 5+ years financial services industry experience or similar experience
  • Bachelors degree in Accounting / Finance, Economics or related discipline preferred but not required

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