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Global Compliance - Firmwide Fiduciary Team - Conflicts of Interest Program - Vice President

Req #: 170107415
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.


The Firmwide Fiduciary and Conflicts of Interest Compliance Group (FFCG), within the Compliance Department, is responsible for JPMC’s Fiduciary and Conflicts of Interest Compliance Programs across lines of business. The cross-LOB Fiduciary Compliance team is responsible for centrally advising on and supporting JPMC’s Fiduciary-related activities and Conflicts of Interest initiatives 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 for Conflicts of Interest (including along the seven core practices: Governance & Oversight, Regulatory Management, Policies and Procedures, Training & Awareness, Monitoring & Testing, Issue Management and Risk Assessment & Reporting), with a focus on understanding, leveraging, and supplementing existing mechanisms for conflicts management into a unified Compliance program.  The central Fiduciary and Conflicts Compliance team partners closely with the Compliance LOB COI and Fiduciary teams and 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.  Some key responsibilities will include:

  • Develop and/ or support Compliance COI initiatives, including enhancing the Firm’s process for capturing and managing potential or perceived conflicts between employees and clientss
  • Assess the governance structure and reporting around COI management, in conjunction with the businesses and key conflicts management functions
  • Enhance the issue management process for the Firm’s central COI Compliance team in partnership with the first-line-of-defense and Audit; working with the businesses on conflicts identification and management
  • Manage Compliance Department-owned issues, reviewing action plans to address issues and timely resolution
  • Evaluate COI issues and identify risks for potential cross-line of business impact
  • Develop set of COI metrics to identify trends and leading indicators of risk
  • Support COI program expansion work in a program management capacity; be able to identify gaps and risks as well as drive initiative forward
  • Ensure holistic and consistent approach to key COI initiatives across the Compliance Fiduciary organization
  • Partner with Employee Compliance, Conflicts Office, HR and other stakeholders to oversee an “end to end” compliance program on Conflicts management
  • Produce Compliance COI presentations for Senior Management

Evaluation Criteria

The successful candidate would have a proven track record of delivering in change management activities, and working with employees at all levels of the organization.  The candidate would have strong presentation skills and data analytical skills, including expertise in Excel, PowerPoint and SharePoint.   The expectation is that the candidate would operate in a complex, fast-paced environment and deliver results while being flexible.  The candidate should also be able to work independently, take initiative and think strategically to solve problems.Qualifications:
• Experience in strategic initiatives, delivering results and change management
• Ability to identify root cause amongst the noise
• Advanced PowerPoint and Excel skills
• Adept in communicating complex messages succinctly, written and verbal
• Ability to connect the dots on various efforts to efficiently and effectively implement program
• Proven ability to multi task as well as assess and change priorities
• Independent thinker with strong analytical and problem solving skills
• Knowledge of the firm and ability to leverage partners and best practices
• Strong business acumen
• 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
• Excellent written and verbal communication skills
• A high level of attention to detail
• 6-8 years financial services industry experience

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