CCOR - Compliance Manager - Vice President
Posted on: 19 Feb 2021
New York City, New York
Job Description
JP Morgan Institutional Investments Inc. (JPMII) is a limited capacity, FINRA registered broker dealer. The business of JPMII crosses over several Asset Management and Bank lines of business including Institutional Asset Management, Global Liquidity, JPMorgan Invest Holdings, and JP Morgan Alternative Asset Management. JPMII serves as the placement agent for privately placed funds that are advised by JPMC investment advisory affiliates. The broker/dealer also engages in sales by actively soliciting institutional customers to invest in the money market and short-term bond funds through JPMCs Global Liquidity business, and conducts wholesaling of the JPMorgan Mutual Funds and ETF products to financial intermediaries. In addition JPMII also provides wholesale marketing support for JPMorgan Funds, JPMorgan Investment Trusts and New Yorks Advisor-Guided College Savings Program. JP Morgan Distribution Services, Inc. (JPMDS) is a limited capacity, FINRA registered broker dealer which serves as the distributor of JPMorgan Funds and provides accountholder and dealer servicing functions.
Responsibilities:
We currently have an opening in the JP Morgan Asset Management (JPMAM) Compliance Department for a Compliance Officer supporting both JPMII and JPMDS broker dealers. The candidate will also cover the Global Liquidity line of business whose product line includes domestic and international money market funds, as well as short-term fixed income funds and separately managed accounts. The Compliance Officer will support the distribution channels for JPMorgan Funds and ETFs, with responsibility for on-going independent assessment of the risk of the businesses, reviewing New Business Initiatives, developing broker dealer trainings, advising on regulatory developments, development of Compliance Policies and Bulletins and other responsibilities supporting the broker dealers Chief Compliance Officer and Asset Management legal entities.
The responsible Compliance Officer will manage relationships with senior level business executives, legal, risk, operations, control and business management partners, capably managing multiple projects and task with the right urgency and agility to prioritize and re-prioritize as needed. The Compliance Officer will conduct potential Compliance policy violation investigations, plan and perform Compliance monitoring, and plan and direct testing and surveillance activities for the broker dealers and the Global Liquidity business group. The successful candidate will be curious, thoughtful, agile, open to professional growth and new responsibilities in the execution of the Compliance program for these business units and will be equally committed to delivering as an individual contributor and as a member of the team working across AM lines of business and CCOR.
Qualifications:
* 7 -10 years broker-dealer or investment adviser or related Compliance, Legal, Audit, controls, sales or operational experience
* Experience with monitoring and testing, investment management risk oversight, mutual fund distribution, hedge funds, or private placements is a plus.
JPMorgan Chase & Co.
New York, New York
JPMorgan Chase & Co. operates as a financial services company worldwide. It operates in four segments: Consumer & Community Banking (CCB), Corporate & Investment Bank (CIB), Commercial Banking (CB), and Asset & Wealth Management (AWM). The CCB segment offers deposit and investment products and services to consumers; lending, deposit, and cash management and payment solutions to small businesses; mortgage origination and servicing activities; residential mortgages and home equity loans; and credit card, payment processing, auto loan, and leasing services.
The CIB segment provides investment banking products and services, including corporate strategy and structure advisory, and equity and debt markets capital-raising services, as well as loan origination and syndication; cash management and liquidity solutions; and cash securities and derivative instruments, risk management solutions, prime brokerage, and research.
This segment also offers securities services, including custody, fund accounting and administration, and securities lending products for asset managers, insurance companies, and public and private investment funds. The CB segment provides financial solutions, including lending, treasury, investment banking, and asset management to corporations, municipalities, financial institutions, and nonprofit entities, as well as financing to real estate investors and owners.
The AWM segment offers investment and wealth management services across equities, fixed income, alternatives, and money market fund asset classes; multi-asset investment management services; retirement products and services; and brokerage and banking services comprising trusts, estates, loans, mortgages, and deposits. The company also provides ATM, digital covering online and mobile, and telephone banking services. JPMorgan Chase & Co. has a collaboration agreement with Chicagoland Chamber of Commerce. The company was founded in 1799 and is headquartered in New York, New York.
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IndustryBanking/Financial Services
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No. of Employees255,998
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Website
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Jobs Posted9051
