Bring your expertise to JPMorgan Chase.  As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your expert judgement to solve real-world challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class.

As a Compliance Risk Management Senior Officer within the JPM Wealth Management team and the Compliance Conduct and Operational Risk (CCOR) organization, you will be responsible for partnering with the Line of Business (LOB) and global/regional Compliance teams; including Internal Audit, Operational Risk and other Control functions.  You will leverage your knowledge and experience in Compliance as well as have a familiarity with regulatory best practices.  Additionally, you will support JPM Wealth Management trading desks inclusive of executing client orders in primary and secondary markets, develop structured investments, and identifying investment opportunities for JPM Wealth Management clients. In this role you will also focus on equities and fixed income trading Compliance matters.

Job Responsibilities

Maintain policies and standards which set forth the requirements for equities and fixed income trading regarding the management and oversight over compliance risks Participate in the risk assessment process and provide challenge to the identification of risks on activities conducted by the trading desksIdentify potential concerns and control issues, determine the root cause of issues and ensure stakeholders develop and implement appropriate corrective actionsPartner with global/regional Surveillance teams in promoting our global program and its responsibilities Conduct ongoing compliance monitoring activities and participate in special projects as requiredParticipate in internal and external examinations and audits

Required qualifications, capabilities, and skills

Knowledge of SEC, FINRA and MSRB rules relevant to securities trading with focus on regulatory trade reporting, best execution, distribution of issues, and SEC Market Access rule  Strong written and oral executive-level communications skillsExcellent analytical skillsBachelor's degree requiredAbility to work both independently and as a core team member

Preferred qualifications, capabilities, and skills

JD preferred