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Vice President/Compliance Director

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Company name
J.P. Morgan Chase & Co.

5-7 yrs required

New York City, NY
1 hit(s)  


Job Description

Vice President/Compliance Director-130074190

Job Description


JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in investment banking, financial services for consumers, small business and commercial banking, financial transaction processing, asset management, and private equity.


The Compliance Department of JPMorgan Chase & Co is organized by Practice Groups that conform to the organization of the Firm's lines of business (LOBs) and corporate staff areas, allowing the compliance staff to work closely with specific groups on a daily basis. The structure provides the means for the compliance teams to communicate changes to the businesses and staff areas, and for the LOBs and staff areas to communicate business developments that have implications to the compliance teams in a timely manner.


This position offers the opportunity for interacting with Federal Regulators, Business Management, Oversight and Controls, Legal and LOB Compliance teams.  This position manages a caseload of external examinations in adherence to protocols established for pre-exam preparation, on-site facilitation and post exam processes.  Key responsibilities include without limitation exam coordination, requesting and reviewing materials/data procurement, preparation for regulatory meetings, management reporting, issue identification, and appropriate engagement in remediation of any identified issues.  This position partners with appropriate stakeholders to develop written responses to examination requests and Supervisory Letters.

Principal Responsibilities

    Effectively manage a caseload of regulatory engagements including examinations, inquiries, ongoing supervisory activities and proactive meetings.

    Help maintain an active dialogue and enhance JPMC’s relationship with its regulators.

    Develop a cohesive and effective partnership with Senior Business leaders, LOB Compliance teams, Oversight and Controls, Legal, Audit, Operations, and individual business units to respond to examination matters.

    Review examination information requests and, in a timely and orderly manner, collect, review, and evaluate responses prepared by subject matter experts.

    Prepare business and Compliance partners for examination interviews

    Prepare substantial written responses to examination inquiries and Supervisory Letters, advocating when necessary on behalf of JPMC by applying the facts of each matter to the applicable laws or regulations at issue.

    Manage logistics of exams and ensure proper coordination.

    Proactively navigate exams, including determining the best ways to handle requests from examiners and providing full and relevant context to prevent undue concerns.

    Provide strategic, clear, and regular updates and advice to management regarding significant matters, including without limitation potential issues requiring timely escalation and resolution.

    Ensure that all issues and concerns highlighted during the exam, including those not included on the final report, are reviewed and addressed, and that action plans are developed, completed, and tested to address root cause.

    Influence and drive change in functional areas outside of the Exam Manager’s direct control.

    Partner with other Exam Managers to identify and analyze trends and remediation plans that are identified across multiple exams and then work with business and other partners to ensure they are appropriately and consistently addressed.

    Ensuring periodic and adhoc management reporting is completed timely and accurately to review with the Exam Management team and other audiences as appropriate.

    Participate in mentoring and training as requested for Exam Management team members.

    Perform adhoc project work as identified.

Knowledge- Skills

    Strong Management abilities.

    Solid judgment along with the ability to evaluate complex legal and business issues.

    Strong working knowledge of compliance, audit, risk and operational management concepts and the ability to understand and interpret the impact of policy and procedural changes, as well as identify and convey potential problem areas.

    Action-oriented and effective listening skills.

    Excellent time management and planning skills along with the ability to handle multiple assignments at the same time.

    Ability to review documentation and provide executive summary overviews and trending analysis.

    Project management skills.

    Must be able to interact effectively with management.

    A relationship builder, who can establish trust and credibility across the organization.

    Analytical and organized with a systematic thought process.

    Ability to establish, develop and maintain effective working relationships with examiners at the appropriate level of the investor/regulator supported




    Bachelor’s degree (BS / BA) required, Juris Doctor (JD) preferred.

    Strong and effective communication skills to develop relationships between business groups and external examination teams.

    Minimum of 5-7 years experience in Compliance, Risk or Audit.

    Working knowledge of Federal regulatory requirements.

Job Compliance

Primary LocationUS-NY-New York-277 Park Avenue / 03363

Organization Office of the General Counsel

Schedule Full-time

Job Type Standard

Shift Day Job

Employee Status Regular

Corporate Brand JPMorgan Chase & Co.

Company info

J.P. Morgan Chase & Co.
United States
Website :