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Corporate - Employee Conduct Standards - Compliance Lead - Executive Director

Req #: 170123404
Location: New York, NY, US
Job Category: Compliance
Job Description:


JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.5 trillion and 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 Employee Compliance team is responsible for managing compliance risk management programs related to key employee related regulatory risk, reporting to relevant governance committees and/or senior management. The team is tasked with designing and executing risk mitigation strategies, developing and conducting training, and managing internal audit and relevant regulatory exams.


The Employee Conduct Program aims to:

  • Define standards and develop requirements for tools, analytics & reporting, and framework to capture and assess relevant conduct information on employees from all monitoring activities
  • Monitor employee conduct and compliance for emerging areas of focus, including Employee Compliance programs, Market Conduct programs, Data Loss Prevention (DLP), workforce code cases, etc.
  • Ensure execution and implementation of recommended changes.
  • Establish program structure, manage milestones, create new metrics
  • Refine program and approach based on learning's

To be successful in this role, the candidate must be prepared to work in a challenging yet rewarding environment delivering first class program and project management solutions. They must enjoy creating and maintaining strong relationships with key stakeholders. They will lead as pertains to the development of the overarching governance framework, associated standards and policies, identifying globally consistent standards and approaches as well as driving these plans in support of the overall program agenda. The ideal candidate will be someone who has excellent communication and engagement skills, and can operate at a variety of levels.

  • Provide strong thought leadership and communication skills in relaying Conduct information to global colleagues, stakeholders and staff and highlighting key considerations
  • Engage and partner with senior committee members to ensure successful execution of program deliverables to reach target state
  • Lead working groups with stakeholders to effectively manage the governance framework, assessing impacts of risks and/or issues to critical work-streams.
  • Engage and partner with Technology and/or other stakeholders to define business requirements to deliver project solutions
  • Piece together various data from multiple sources to understand key information that can be used for pro-active Conduct identification
  • Define employee conduct reporting requirements and see through to implementation and ongoing BAU management
  • Manage multiple project deliverables to ensure timely delivery
  • 10+ years of financial services experience with demonstrated progression of responsibilities
  • Bachelor degree required
  • Proven Risk Management / Compliance / Audit / Controls Testing
  • Proven project management and execution skills
  • Exceptional critical thinking, project management, analytical and communication skills (e.g. communicate effectively at all levels of the organization)
  • Strong interpersonal and influencing skills, with the ability to establish credibility and strong partnerships with business/compliance partners
  • Excellent organizational skills and ability to manage, prioritize, work under pressure, and meet tight deadlines
  • Robust analytical and problem solving skills
  • Excellent written and verbal communication skills with the ability to present complex and sensitive issues to senior management
  • Flexible to changing business priorities and ability to multitask in a constantly changing environment
  • Individual must be results driven and skilled at influencing key stakeholders and peers
  • Results oriented, possess sense of urgency, resourcefulness and excellent problem solving skills
  • Knowledge and/or prior experience with employee/workforce Conduct a plus

** Any candidate not meeting all the qualifications can be considered as a VP, Compliance Manager.


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