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Corporate Compliance - Information Barrier Advisory - Vice President

Req #: 180006233
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 Asset Management is a leading asset manager for institutions, individuals and financial intermediaries, worldwide.  Our investment professionals are located around the world providing strategies that span the full spectrum of asset classes including equity, fixed income, cash liquidity, currency, real estate, infrastructure, hedge funds and private equity. These strategies are provided to clients through Private Funds, Mutual Funds or separate account mandates.

 

J.P. Morgan Asset Management is a leading asset manager for institutions, individuals and financial intermediaries, worldwide.  Our investment professionals are located around the world providing strategies that span the full spectrum of asset classes including equity, fixed income, cash liquidity, currency, real estate, infrastructure, hedge funds and private equity. These strategies are provided to clients through Private Funds, Mutual Funds or separate account mandates.
 
Responsibilities: Support the implementation of the Information Barrier Standards  to ensure that there are appropriate controls in place to prevent the sharing of information between the public and private sides of the business through training, guidance, development and implementation of policies, procedures and controls.
  • Address factual situations dealing with information flows that could be the source of potential material non-public information or client information (collectively referred to as “MNPI”);
  • Interact with senior business personnel, legal and global compliance management from different groups including but not limited to the following: all divisions within Investment Management, Risk, Corporate, Investment Bank; Private Bank; Wealth Management; Intelligent Digital Solutions; Technology; Real Estate; Operations; and others;
  • Evaluate and Resolve potential Information Barrier risks related to and MNPI associated with different business groups;
  • Advise business on information that may be shared or restricted from being shared;
  • Advise business on permitted communications, including attending business meetings;
  • Assist in developing policies and procedures to comply with the IB Standards as well as with specific guidance given by compliance;
  • Identify and provide remediation plans for real or potential risks associated with IB related matters;
  • Assist in regulatory or audit inquiries associated with IB Standards and guidance given;
  • Advise on business seating arrangements, reporting lines, business initiatives and floor access as needed;
  • Operate within a Matrixed Team and Partner when providing guidance on IB matters with others legal or compliance professionals in different groups including: Investment Bank; Asset Management Trade Surveillance; Wealth Management; Private Bank; EMEA and APAC;
  • Develop a control structure when it relates to IB, including limiting authorized access, physical barriers, technology barriers, confidentiality agreements, email controls, employee trading;
  • Be proficient in the IB Standards; Conflicts of Interest; Code of Ethics; Corporate Values;
  • Conduct IB Training;

Qualifications:

• BS or BA Degree;

• MBA or Law Degree, desirable but not required;

• 5-10 Years at a large financial institution;

• Ability to interact with Senior Business Heads professionally, articulately, both in writing and verbally;

• Inquisitive and analytical

• Ability to process information in a fast paced environment;

• Strong writing and communication skills;

• Strong understanding of financial service firms, products and services, preferably at a large financial institution;

• Detail oriented;

• Team Player;

• Multi-task;

• Be comfortable to take ownership of decisions and responsibilities and know when to escalate certain issues and when to address independently;

• Take initiative; Be Pro-active; Motivated and Enthusiastic;

• Organized;

• Provide guidance in an efficient, timely and effective manner;

• Coordinate within the matrixed team to provide guidance on matters;

• Previous experience providing IB guidance at large financial institution preferred;

• Proven track record in building good working relationships across business entities and senior management;

• Strong time management skills;

• Working knowledge of MS Word, Excel, PowerPoint and SharePoint;

• Knowledge of Investment Company Act, Investment Adviser Act, ’33 Act; ’34 Act; Banking Regulations;

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