28 days old

Corporate Compliance - Investment Banking Compliance - Vice President

New York, NY 10007
  • Job Code

Corporate Compliance - Investment Banking Compliance - Vice President

Req #: 190064417
Location: New York, NY, US
Job Category: Compliance
Potential Referral Amount: US Dollar (USD)

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.

The Compliance Department is looking for an Equity Capital Markets and Syndicate Compliance Officer who will be responsible for:

  • The identification of the compliance and conduct risks inherent within product offerings such as IPOs, follow ons, block trades, buybacks, at the market offerings and corporate derivative structures.

  • Raising issues for the front office to remediate through action plans and partnering with the front office process owners in control design, control evaluation, and issue management of compliance and conduct risks.

  • Building and maintaining strong client relationships with front office personnel,  business management, control managers, technology and business aligned Corporate Functions

  • Working proactively with the front office to maintain, enhance and develop an effective control environment and supervisory program.

  • Working with business management to ensure the front office maintains effective written supervisory procedures.        

  • Assisting the team with reporting, metrics, project management and conducting compliance risk assessments.

  • Developing and performing reviews designed to effectively monitor the activities conducted by the front office and other support groups.

  • Drafting and maintaining Compliance policies, procedures and bulletins reasonably designed to support compliance with applicable regulatory obligations, corporate requirements and industry best practices.

  • Designing and delivering training to support compliance with applicable regulatory obligations, the firm’s compliance-related policies and procedures and industry best practices. 

  • Collaborating with business and other control functions to gather information and review responses to regulatory examinations, audits, investigations, inquiries, and other information requests. 

  • Independently managing projects necessary to support initiatives both within the Compliance Department and across the firm globally.

  • Assisting the team in identifying and escalating issues through formal escalation channels, and facilitating timely and effective resolutions.

  • Interacting regularly with colleagues in other lines of business and other regions on regulatory matters, cross border questions, and formulating consistent approaches on corporate regulatory policies.


  • Bachelor Degree Required.

  • Law Degree preferred.

  • 2-5 years’ experience within an investment bank, law firm or regulator covering equity financial instruments and products.

  • Extensive knowledge of SRO and SEC rules and regulations relating to equity syndicate, sales, trading and capital markets.

  • The ability to work with a team but operate under own initiative.  Solution driven; confident; highly motivated and proactive.

  • Excellent research, analysis, written and interpersonal skills.

  • Position requires substantial presence on investment banking and syndicate floors and ability to interact with senior managers.


JPMorgan Chase Co. is an Equal Opportunity and Affirmative Action Employer, M/F/Disability/Veteran


Keyword: consumer%20banking


Posted: 2019-07-22 Expires: 2019-09-14

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 - Investment Banking Compliance - Vice President

JPMorgan Chase & Co.
New York, NY 10007

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