15 days old

Corporate Compliance - AWM Testing Compliance Manager - Vice President

Tampa, FL 33602
  • Job Code

Corporate Compliance - AWM Testing Compliance Manager - Vice President

Req #: 190063887
Location: Tampa, FL, US
Job Category: Compliance
Potential Referral Amount: 0 US Dollar (USD)
JPMorgan 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 practices and employee development to ensure goals are delivered.
This role resides within Asset and Wealth Management (AWM) Compliance and is accountable for supporting the development and execution of the risk-based compliance testing program for AWM-North America.
The professional who fills this position will work with Business, Legal, Risk, Audit and Compliance management to identify and assess risks; develop and execute an appropriate compliance testing plan; and, ensure that corrective action is fully implemented to address testing, audit, regulator, and/or self-identified issues.
This position requires knowledge of applicable U.S. broker-dealer, registered investment adviser and/or consumer banking regulatory requirements and controls, as well as familiarity with Compliance or Audit best practices.  The successful candidate should be enthusiastic, confident, and have previous experience conducting regulatory examinations, compliance testing, or internal audits of complex financial institutions. 
  • Research, plan and lead detailed reviews, in accordance with the AWM Compliance Testing program and within assigned testing timeframes to assess compliance with applicable rules and regulations; 
  • Prepare clear and organized testing work papers to document and support work performed and conclusions reached;
  • Draft detailed reports encompassing the review results which clearly articulate the issues noted and remedial actions to be taken;
  • Organize and prepare management information relating to testing reviews completed, issues identified, outstanding action plans and progress against plan; 
  • Be able to organize systems data and subsequently analyze it with the aim of drawing effective conclusions to support the testing work;
  • Work to enhance the visibility of the Testing team and establish key business relationships.  Interact with all levels of business management and staff.  Meet regularly with key business stakeholders to remain informed of risks within the business and issues arising;
  • Work with the Compliance Advisory teams/Subject Matter Experts to ensure up to date and comprehensive understanding of business areas.  Use this knowledge to develop and execute the Testing program; and
  • Coordinate with other Compliance Team Members globally and assist in various ad hoc projects as necessary.


  • Excellent written, analytical and interpersonal skills required;
  • Pro-active, motivated and enthusiastic;
  • Able to work independently with good time management skills;
  • 5+ years of financial services experience, preferably in Audit or Testing related roles;
  • Ability to work in a team environment and assist with reviews, projects and/or team initiatives;
  • Strong organizational skills and willing to take ownership and responsibility of tasks;
  • Ability to manage multiple projects simultaneously with minimal supervision;
  • Strong knowledge of U.S. regulatory framework for banking and securities institutions, with an overall understanding of regulations relating to retail brokerage, investment adviser, alternative investments and other complex financial products and/or consumer banking related requirements (e.g., mortgages, deposits, trust and estate services);
  • Strong written and verbal communication skills, as well as influencing abilities; and
  • Knowledge of Microsoft Word, Excel and PowerPoint.  Experience with Visio preferred, but not required.

Keyword: consumer%20banking


Posted: 2019-08-07 Expires: 2019-09-06

For over 200 years, JPMorgan Chase & Co has provided innovative financial solutions for consumers, small businesses, corporations, governments and institutions around the world.

Today, we're a leading global financial services firm with operations servicing clients in more than 100 countries.

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Corporate Compliance - AWM Testing Compliance Manager - Vice President

JPMorgan Chase & Co.
Tampa, FL 33602

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